RIA Intelligence

• S•••••• C•••••• A••••••• L•• BD affiliated current
  since May 28, 2021 · New York, Ny
• W•••• F•••• A••••••• wirehouse
  Sep 10, 2018 to Jun 1, 2021 · New York, Ny
• J••• M••••• S••••••••• L•• wirehouse
  Oct 1, 2012 to Sep 17, 2018 · New York, Ny
• C•••• I••••••••• S••••••• C•••• former
  Nov 17, 2003 to Oct 1, 2012 · New York, Ny

• W•••• F•••• A••••••• to S•••••• C•••••• A••••••• L••
  left Jun 1, 2021, registered May 28, 2021 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
  left Sep 17, 2018, registered Sep 10, 2018 (-7 days) · Wirehouse to wirehouse · moved with a team
• C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
  left Oct 1, 2012, registered Oct 1, 2012 (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