RIA Intelligence

• G•• S••••••••• I••• BD affiliated current
  since Aug 8, 2019 · Windsor Locks, Ct
• N••••••••• S••••••••• L•• no RAUM
  Mar 26, 2018 to Aug 7, 2019 · Windsor Locks, Ct
• V••• F•••••••• A•••••••• I••• BD affiliated
  Feb 15, 2011 to Jan 17, 2018 · Windsor, Ct
• O•••• I••••••••• I••• BD affiliated
  Sep 12, 2008 to Apr 9, 2009 · Meriden, Ct
• S••••••• P•••••• A•••••••• L••• institutional
  May 9, 2008 to Aug 22, 2008 · Wakefield, Ma

• N••••••••• S••••••••• L•• to G•• S••••••••• I•••
  left Aug 7, 2019, registered Aug 8, 2019 (1 days) · Other
• V••• F•••••••• A•••••••• I••• to N••••••••• S••••••••• L••
  left Jan 17, 2018, registered Mar 26, 2018 (68 days) · Other
• O•••• I••••••••• I••• to V••• F•••••••• A•••••••• I•••
  left Apr 9, 2009, registered Feb 15, 2011 (677 days) · Other
• S••••••• P•••••• A•••••••• L••• to O•••• I••••••••• I•••
  left Aug 22, 2008, registered Sep 12, 2008 (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

18derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address