RIA Intelligence

• M••• S••••• F•••••••• S••••••••• L•• independent RIA current
  since Mar 11, 2020 · Verona, Nj
• M••• S••••• F•••••••• S••••••••• L•• former
  May 10, 2017 to Jul 1, 2020 · Newtown, Pa
• A••••• W••••• independent RIA
  Jul 9, 2010 to May 11, 2017 · East Hanover, Nj
• N••••• A•• F•••••••• P•••••••• L•• unclassified
  Apr 28, 2009 to Dec 31, 2010 · Ritherford, Nj
• N••••••••• M••••• I••••••••• S••••••••• no RAUM
  Sep 13, 2006 to May 4, 2009 · Fairfield, Nj

• M••• S••••• F•••••••• S••••••••• L•• to M••• S••••• F•••••••• S••••••••• L••
  left Jul 1, 2020, registered Mar 11, 2020 (-112 days) · channel change inside one enterprise, not a move · moved with a team
• A••••• W••••• to M••• S••••• F•••••••• S••••••••• L••
  left May 11, 2017, registered May 10, 2017 (-1 days) · Other
• N••••• A•• F•••••••• P•••••••• L•• to A••••• W•••••
  left Dec 31, 2010, registered Jul 9, 2010 (-175 days) · Other
• N••••••••• M••••• I••••••••• S••••••••• to N••••• A•• F•••••••• P•••••••• L••
  left May 4, 2009, registered Apr 28, 2009 (-6 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

Independent wealth managerderived

Years in industry

22derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address