RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Feb 14, 2018 · Syracuse, Ny
• I••••• F•••••••• C••••••••• former
  Feb 12, 2016 to Feb 14, 2018 · Syracuse, Ny
• L•• F•••••••• L•• BD affiliated
  May 18, 2012 to Feb 18, 2016 · Cortland, Ny
• H••• S••••••••• •••• I••• BD affiliated
  Mar 15, 2007 to May 15, 2012 · Tully, Ny
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Oct 20, 2004 to Jun 21, 2005 · Syracuse, Ny
• Q•••• • R•••••• I••• unclassified
  Oct 11, 2004 to Oct 20, 2004 · Rochester, Ny

• I••••• F•••••••• C••••••••• to L•• F•••••••• L••
  left Feb 14, 2018, registered Feb 14, 2018 (0 days) · corporate re-registration, not a move
• L•• F•••••••• L•• to I••••• F•••••••• C•••••••••
  left Feb 18, 2016, registered Feb 12, 2016 (-6 days) · Other
• H••• S••••••••• •••• I••• to L•• F•••••••• L••
  left May 15, 2012, registered May 18, 2012 (3 days) · corporate re-registration, not a move
• B••• O• A•••••• I••••••••• S•••••••• I••• to H••• S••••••••• •••• I•••
  left Jun 21, 2005, registered Mar 15, 2007 (632 days) · Other
• Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
  left Oct 20, 2004, registered Oct 20, 2004 (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

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address