RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Mar 6, 2025 · Rochelle Park, Nj
• I• A••••••• S•••••••• I••• former
  Jul 8, 2016 to Mar 6, 2025 · Saddle Brook, Nj
• A••••••••• F•••••••• S•••••••• L•• national BD
  May 7, 2010 to Jul 13, 2016 · Saddle Brook, Nj
• M••••• S•••••• wirehouse
  Jun 1, 2009 to May 26, 2010 · Little Falls, Nj
• C•••••••• G••••• M•••••• I••• BD affiliated
  Jan 27, 2006 to Jun 1, 2009 · Little Falls, Nj

• I• A••••••• S•••••••• I••• to L•• F•••••••• L••
  left Mar 6, 2025, registered Mar 6, 2025 (0 days) · corporate re-registration, not a move
• A••••••••• F•••••••• S•••••••• L•• to I• A••••••• S•••••••• I•••
  left Jul 13, 2016, registered Jul 8, 2016 (-5 days) · Other
• M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••
  left May 26, 2010, registered May 7, 2010 (-19 days) · Wirehouse to affiliated broker-dealer or bank
• C•••••••• G••••• M•••••• I••• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (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

Broker-dealer affiliated wealth managerderived

Years in industry

20derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address