RIA Intelligence

• E•••• S••••••••• L•• BD affiliated current
  since Aug 13, 2011 · New York, Ny
• H••••••• I••••••••• F•••••••• S•••••••• L•• former
  Sep 10, 2009 to Jul 8, 2011 · Wayne, Pa
• M••••• S•••••• • C•• L•• unclassified
  Apr 2, 2007 to Nov 13, 2007 · New York, Ny
• V•• K••••• A••••••• I•• unclassified
  Mar 31, 2005 to Nov 13, 2007 · Jersey City, Nj
• M••••• S•••••• D• I••• unclassified
  Oct 7, 2004 to Apr 2, 2007 · New York, Ny
• B•• M••••• S••••••••• L•• unclassified
  Jul 14, 2003 to Sep 16, 2004 · Ridgefield Park, Nj

• H••••••• I••••••••• F•••••••• S•••••••• L•• to E•••• S••••••••• L••
  left Jul 8, 2011, registered Aug 13, 2011 (36 days) · Other
• V•• K••••• A••••••• I•• to M••••• S•••••• • C•• L••
  left Nov 13, 2007, registered Apr 2, 2007 (-225 days) · Other
• M••••• S•••••• • C•• L•• to H••••••• I••••••••• F•••••••• S•••••••• L••
  left Nov 13, 2007, registered Sep 10, 2009 (667 days) · Other
• M••••• S•••••• D• I••• to V•• K••••• A••••••• I••
  left Apr 2, 2007, registered Mar 31, 2005 (-732 days) · Other
• B•• M••••• S••••••••• L•• to M••••• S•••••• D• I•••
  left Sep 16, 2004, registered Oct 7, 2004 (21 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

Broker-dealer affiliated wealth managerderived

Years in industry

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address