RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Aug 3, 2021 · New Paltz, Ny
• W•••• F•••• A••••••• wirehouse
  Mar 27, 2012 to Jun 25, 2012 · Poughkeepsie, Ny
• O•••• I••••••••• I••• BD affiliated
  Dec 6, 2002 to May 27, 2008 · Ridgefield, Ct
• P••••••••• E••••• G••••• L•• unclassified
  Apr 27, 2001 to Sep 27, 2002 · Danbury, Ct

• W•••• F•••• A••••••• to L•• F•••••••• L••
  left Jun 25, 2012, registered Aug 3, 2021 (3326 days) · Wirehouse to affiliated broker-dealer or bank
• O•••• I••••••••• I••• to W•••• F•••• A•••••••
  left May 27, 2008, registered Mar 27, 2012 (1400 days) · Other
• P••••••••• E••••• G••••• L•• to O•••• I••••••••• I•••
  left Sep 27, 2002, registered Dec 6, 2002 (70 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