RIA Intelligence

• S•••••••• S••••••••• BD affiliated current
  since Sep 19, 2012 · Manalapan, Nj
• L•• F•••••••• L•• BD affiliated
  May 25, 2012 to Sep 19, 2012 · Old Bridge, Nj
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Oct 23, 2009 to Jul 19, 2011 · Freehold, Nj
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Oct 17, 2007 to Oct 23, 2009 · Freehold, Nj
• W•••• F•••• A••••••• wirehouse
  Sep 23, 2004 to Oct 1, 2007 · Freehold, Nj
• E•••••••• A•••••••• L•• national BD
  Jun 2, 2003 to May 19, 2004 · New York, Ny

• L•• F•••••••• L•• to S•••••••• S•••••••••
  left Sep 19, 2012, registered Sep 19, 2012 (0 days) · corporate re-registration, not a move
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••
  left Jul 19, 2011, registered May 25, 2012 (311 days) · Other
• B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••
  left Oct 1, 2007, registered Oct 17, 2007 (16 days) · Other
• E•••••••• A•••••••• L•• to W•••• F•••• A•••••••
  left May 19, 2004, registered Sep 23, 2004 (127 days) · Affiliated broker-dealer or bank to wirehouse

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

23derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address