RIA Intelligence

• O•••• W•••••• I••• BD affiliated current
  since Jun 14, 2024 · Guilford, Ct
• S••••••••• A•••••• A•••••••• I••• former
  Oct 31, 2017 to Jun 14, 2024 · Guilford, Ct
• N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
  Mar 31, 2006 to Nov 7, 2017 · South Windsor, Ct
• O•••• F•• I••• former
  May 5, 2003 to Apr 3, 2006 · Guilford, Ct
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Apr 5, 2001 to May 5, 2003 · New Haven, Ct

• S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••
  left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
• N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S••••••••• A•••••• A•••••••• I•••
  left Nov 7, 2017, registered Oct 31, 2017 (-7 days) · Other · moved with a team
• O•••• F•• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
  left Apr 3, 2006, registered Mar 31, 2006 (-3 days) · Other
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O•••• F•• I•••
  left May 5, 2003, registered May 5, 2003 (0 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