RIA Intelligence

• U•• F•••••••• S••••••• I••• wirehouse current
  since Oct 21, 2008 · Westfield, Nj
• L•• F•••••••• L•• BD affiliated
  May 27, 2008 to Nov 12, 2008 · Brooklyn, Ny
• I••• S••••••••• I••• unclassified
  Jan 2, 2008 to May 27, 2008 · Brooklyn, Ny
• P••• I••••••••• L•• asset manager
  Aug 26, 2002 to May 30, 2003 · Newark, Nj

• L•• F•••••••• L•• to U•• F•••••••• S••••••• I•••
  left Nov 12, 2008, registered Oct 21, 2008 (-22 days) · Other
• I••• S••••••••• I••• to L•• F•••••••• L••
  left May 27, 2008, registered May 27, 2008 (0 days) · corporate re-registration, not a move
• P••• I••••••••• L•• to I••• S••••••••• I•••
  left May 30, 2003, registered Jan 2, 2008 (1678 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

27derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address