RIA Intelligence

• V••• F•••••••• A•••••••• I••• BD affiliated current
  since Oct 14, 2013 · Windsor, Ct
• V••• I••••••••• M••••••••• C•• L•• asset manager
  Sep 18, 2009 to May 10, 2012 · New York, Ny
• A••••••••• F•••••••• S•••••••• L•• national BD
  May 9, 2003 to Sep 25, 2003 · East Hartford, Ct

• V••• I••••••••• M••••••••• C•• L•• to V••• F•••••••• A•••••••• I•••
  left May 10, 2012, registered Oct 14, 2013 (522 days) · Other
• A••••••••• F•••••••• S•••••••• L•• to V••• I••••••••• M••••••••• C•• L••
  left Sep 25, 2003, registered Sep 18, 2009 (2185 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

23derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address