RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Mar 28, 2019 · Belvidere, Nj
• K••••• A••••••• S•••••••• L•• BD affiliated
  Apr 20, 2016 to Mar 28, 2019 · Washington, Nj
• N•• A•••••• S•••••••• L•• former
  Aug 8, 2011 to Sep 22, 2016 · Washington, Nj
• C••••• A•••••• N••••••• L•• former
  Nov 5, 2010 to Aug 10, 2011 · King Of Prussia, Pa
• N••••••••• S••••••••• L•• no RAUM
  Aug 1, 2008 to Jul 26, 2010 · Belvidere, Nj
• 1••• C•••••• M••••••••• C•••••• unclassified
  Nov 19, 1999 to Aug 1, 2008 · Belvidere, Nj

• K••••• A••••••• S•••••••• L•• to L•• F•••••••• L••
  left Mar 28, 2019, registered Mar 28, 2019 (0 days) · Affiliated broker-dealer or bank to independent RIA
• N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••
  left Sep 22, 2016, registered Apr 20, 2016 (-155 days) · corporate re-registration, not a move
• C••••• A•••••• N••••••• L•• to N•• A•••••• S•••••••• L••
  left Aug 10, 2011, registered Aug 8, 2011 (-2 days) · Other
• N••••••••• S••••••••• L•• to C••••• A•••••• N••••••• L••
  left Jul 26, 2010, registered Nov 5, 2010 (102 days) · Other
• 1••• C•••••• M••••••••• C•••••• to N••••••••• S••••••••• L••
  left Aug 1, 2008, registered Aug 1, 2008 (0 days) · corporate re-registration, not a move

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