A••• A••••

• N••••••••• M••••• I••••••••• S••••••••• no RAUM current
  since Jan 19, 2024 · St Petersburg, Fl
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Apr 24, 2008 to Apr 24, 2009 · Ridgefield, Ct
• W•••• F•••• A••••••• wirehouse
  Jan 1, 2008 to Apr 7, 2008 · Danbury, Ct
• A• G• E•••••• • S•••• I••• unclassified
  May 6, 2005 to Jan 1, 2008 · Danbury, Ct

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••••••••• M••••• I••••••••• S•••••••••
  left Apr 24, 2009, registered Jan 19, 2024 (5383 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
• W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Apr 7, 2008, registered Apr 24, 2008 (17 days) · Wirehouse to wirehouse
• A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
  left Jan 1, 2008, registered Jan 1, 2008 (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

No RAUM reportedderived

Years in industry

21derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address