RIA Intelligence

• P•• W••••• M••••••••• BD affiliated current
  since May 7, 2014 · Jersey City, Nj
• M•• S••••••••• I••• unclassified
  May 2, 2013 to May 8, 2014 · New York, Ny
• S•••••••• S••••••••• BD affiliated
  Sep 19, 2012 to Apr 10, 2013 · Newark, Nj
• L•• F•••••••• L•• BD affiliated
  Apr 12, 2010 to Sep 19, 2012 · Newark, Nj
• A••••••••• F•••••••• S•••••••• L•• national BD
  Feb 23, 2009 to Sep 15, 2009 · Denver, Co
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Nov 23, 2005 to Dec 16, 2008 · Denver, Co

• M•• S••••••••• I••• to P•• W••••• M•••••••••
  left May 8, 2014, registered May 7, 2014 (-1 days) · Other
• S•••••••• S••••••••• to M•• S••••••••• I•••
  left Apr 10, 2013, registered May 2, 2013 (22 days) · Other
• L•• F•••••••• L•• to S•••••••• S•••••••••
  left Sep 19, 2012, registered Sep 19, 2012 (0 days) · corporate re-registration, not a move
• A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••
  left Sep 15, 2009, registered Apr 12, 2010 (209 days) · Other
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••
  left Dec 16, 2008, registered Feb 23, 2009 (69 days) · Wirehouse to affiliated broker-dealer or bank

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

20derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address