RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Jun 6, 2018 · South Burlington, Vt
• O•••• F•• I••• former
  Oct 7, 2014 to Jun 5, 2018 · South Burlington, Vt
• C••••••••• S••••••••• L••• unclassified
  Sep 11, 2008 to Aug 14, 2009 · St. Albans, Vt
• E••••• J•••• national BD
  Mar 27, 2007 to Sep 2, 2008 · St Albans, Vt

• O•••• F•• I••• to L•• F•••••••• L••
  left Jun 5, 2018, registered Jun 6, 2018 (1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
• C••••••••• S••••••••• L••• to O•••• F•• I•••
  left Aug 14, 2009, registered Oct 7, 2014 (1880 days) · Other
• E••••• J•••• to C••••••••• S••••••••• L•••
  left Sep 2, 2008, registered Sep 11, 2008 (9 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

27derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address