J••••• M••••• S•••••••

• I••••••••• W••••• C••••••• L•• independent RIA current
  since Nov 5, 2016 · Southbury, Ct
• O•••• F•• I••• former
  Jul 6, 2009 to Nov 5, 2016 · Southbury, Ct
• C••••••••• F•••••••• N•••••• national BD
  May 20, 2005 to Jun 29, 2009 · Middlebury, Ct
• O•••• F•• I••• former
  Dec 9, 2003 to May 24, 2005 · Glastonbury, Ct
• V••••••• I••••••••• A•••••••• I••• unclassified
  Jun 29, 2000 to Dec 8, 2003 · Glastonbury, Ct

• O•••• F•• I••• to I••••••••• W••••• C••••••• L••
  left Nov 5, 2016, registered Nov 5, 2016 (0 days) · corporate re-registration, not a move
• C••••••••• F•••••••• N•••••• to O•••• F•• I•••
  left Jun 29, 2009, registered Jul 6, 2009 (7 days) · Other
• O•••• F•• I••• to C••••••••• F•••••••• N••••••
  left May 24, 2005, registered May 20, 2005 (-4 days) · Other
• V••••••• I••••••••• A•••••••• I••• to O•••• F•• I•••
  left Dec 8, 2003, registered Dec 9, 2003 (1 days) · Other

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Source

IAPD individual compilation feedreportedadviserinfo.sec.gov

Firm class

Independent wealth managerderived

Years in industry

29derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address