RIA Intelligence

• C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
  since Jun 13, 2014 · Montvale, Nj
• N•• E•••••• S••••••••• C••••••••• former
  Feb 4, 2009 to Oct 24, 2013 · Bloomfield, Ct
• W•••• F•••• A••••••• wirehouse
  Jan 1, 2008 to Feb 4, 2009 · Glastonbury, Ct
• A• G• E•••••• • S•••• I••• unclassified
  Oct 20, 2003 to Jan 1, 2008 · Glastonbury, Ct
• N•• E•••••• S••••••••• C••••••••• former
  Jan 2, 2002 to Oct 27, 2003 · West Hartford, Ct

• N•• E•••••• S••••••••• C••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
  left Oct 24, 2013, registered Jun 13, 2014 (232 days) · Other
• W•••• F•••• A••••••• to N•• E•••••• S••••••••• C•••••••••
  left Feb 4, 2009, registered Feb 4, 2009 (0 days) · Other
• A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
  left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
• N•• E•••••• S••••••••• C••••••••• to A• G• E•••••• • S•••• I•••
  left Oct 27, 2003, registered Oct 20, 2003 (-7 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

28derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address