RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Mar 30, 2022 · Fort Mill, Sc
• F••••••• P••••••• A•• W•••••••• A••••••• former
  Feb 12, 2020 to Feb 9, 2021 · Morristown, Nj
• H••• S••••••••• •••• I••• BD affiliated
  Mar 26, 2018 to Jan 29, 2020 · New York, Ny
• E•••• S••••••••• L•• BD affiliated
  Aug 8, 2017 to Mar 2, 2018 · Saddle Brook, Nj

• F••••••• P••••••• A•• W•••••••• A••••••• to L•• F•••••••• L••
  left Feb 9, 2021, registered Mar 30, 2022 (414 days) · Affiliated broker-dealer or bank to independent RIA
• H••• S••••••••• •••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
  left Jan 29, 2020, registered Feb 12, 2020 (14 days) · Affiliated broker-dealer or bank to another
• E•••• S••••••••• L•• to H••• S••••••••• •••• I•••
  left Mar 2, 2018, registered Mar 26, 2018 (24 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

19derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address