RIA Intelligence

• C••••• I••••••••• A••••••• L•• BD affiliated current
  since Mar 21, 2024 · Peterborough, Nh
• I•••••••• C•••••• A••••••• former
  Dec 8, 2009 to Oct 3, 2016 · Framingham, Ma
• B••• G••••• • C••••••• I••• independent RIA
  Oct 3, 2007 to Dec 16, 2009 · Orange, Ca
• F•••• M••••••••• I••••••••• C••••••••• unclassified
  May 24, 2006 to Sep 12, 2007 · Framingham, Ma
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Oct 20, 2004 to May 23, 2006 · Boston, Ma
• Q•••• • R•••••• I••• unclassified
  Sep 4, 2002 to Oct 20, 2004 · Boston, Ma

• I•••••••• C•••••• A••••••• to C••••• I••••••••• A••••••• L••
  left Oct 3, 2016, registered Mar 21, 2024 (2726 days) · corporate re-registration, not a move
• B••• G••••• • C••••••• I••• to I•••••••• C•••••• A•••••••
  left Dec 16, 2009, registered Dec 8, 2009 (-8 days) · Other
• F•••• M••••••••• I••••••••• C••••••••• to B••• G••••• • C••••••• I•••
  left Sep 12, 2007, registered Oct 3, 2007 (21 days) · Other
• B••• O• A•••••• I••••••••• S•••••••• I••• to F•••• M••••••••• I••••••••• C•••••••••
  left May 23, 2006, registered May 24, 2006 (1 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

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address