RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Mar 6, 2025 · Montville, Nj
• I• A••••••• S•••••••• I••• former
  May 23, 2017 to Mar 6, 2025 · Montville, Nj
• A••••••••• F•••••••• S•••••••• L•• national BD
  Nov 16, 2012 to May 24, 2017 · Saddle Brook, Nj
• P•• W••••• M••••••••• BD affiliated
  Feb 20, 2009 to Nov 16, 2012 · Hackensack, Nj
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Oct 20, 2004 to Feb 12, 2009 · Carlstadt, Nj
• Q•••• • R•••••• I••• unclassified
  Sep 6, 2002 to Oct 20, 2004 · Norwood, Nj

• I• A••••••• S•••••••• I••• to L•• F•••••••• L••
  left Mar 6, 2025, registered Mar 6, 2025 (0 days) · corporate re-registration, not a move
• A••••••••• F•••••••• S•••••••• L•• to I• A••••••• S•••••••• I•••
  left May 24, 2017, registered May 23, 2017 (-1 days) · Other
• P•• W••••• M••••••••• to A••••••••• F•••••••• S•••••••• L••
  left Nov 16, 2012, registered Nov 16, 2012 (0 days) · Other
• B••• O• A•••••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••
  left Feb 12, 2009, registered Feb 20, 2009 (8 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

24derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address