RIA Intelligence

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
  since Nov 11, 2010 · New York, Ny
• N••••• • C•••••• F•••••••• G••••• L•• former
  Sep 30, 2009 to Oct 7, 2010 · New Canaan, Ct
• L•• F•••••••• L•• BD affiliated
  Oct 31, 2006 to Sep 30, 2009 · New Canaan, Ct
• E•••••••• A•••••••• L•• national BD
  Jul 2, 2003 to Nov 14, 2006 · Stamford, Ct
• M••••• S•••••• D• I••• unclassified
  Oct 4, 2000 to Dec 16, 2002 · Darien, Ct

• N••••• • C•••••• F•••••••• G••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Oct 7, 2010, registered Nov 11, 2010 (35 days) · Other
• L•• F•••••••• L•• to N••••• • C•••••• F•••••••• G••••• L••
  left Sep 30, 2009, registered Sep 30, 2009 (0 days) · Other
• E•••••••• A•••••••• L•• to L•• F•••••••• L••
  left Nov 14, 2006, registered Oct 31, 2006 (-14 days) · Other
• M••••• S•••••• D• I••• to E•••••••• A•••••••• L••
  left Dec 16, 2002, registered Jul 2, 2003 (198 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

Wirehousederived

Years in industry

29derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address