RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Oct 18, 2017 · Shelton, Ct
• N•••••••• W••••• P••••••• L•• former
  Nov 30, 2015 to Sep 30, 2020 · Shelton, Ct
• M•• F•••••••• S•••••••• I••• former
  Mar 25, 2010 to Nov 30, 2015 · Shelton, Ct
• A•• I••••••••• S•••••••• I••• asset manager
  Mar 20, 2006 to Sep 29, 2009 · Shelton, Ct
• A••••••• S•••••• A••••••• S•••••••• I••• unclassified
  Mar 12, 2003 to Mar 25, 2004 · Shelton, Ct

• N•••••••• W••••• P••••••• L•• to L•• F•••••••• L••
  left Sep 30, 2020, registered Oct 18, 2017 (-1078 days) · Other · moved with a team
• M•• F•••••••• S•••••••• I••• to N•••••••• W••••• P••••••• L••
  left Nov 30, 2015, registered Nov 30, 2015 (0 days) · Other · moved with a team
• A•• I••••••••• S•••••••• I••• to M•• F•••••••• S•••••••• I•••
  left Sep 29, 2009, registered Mar 25, 2010 (177 days) · Other
• A••••••• S•••••• A••••••• S•••••••• I••• to A•• I••••••••• S•••••••• I•••
  left Mar 25, 2004, registered Mar 20, 2006 (725 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

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address