RIA Intelligence

• D•••• W••••• A••••••• independent RIA current
  since Apr 5, 2017 · Salem, Nh
• N•••••••• F•••••••• P•••••••• L•• independent RIA
  May 2, 2013 to May 8, 2017 · Windham, Nh
• P•••• S••••••••• L•• no RAUM
  Mar 10, 2011 to May 7, 2012 · Windham, Nh
• M••••• S•••••• • C•• L•• unclassified
  Apr 2, 2007 to Nov 17, 2008 · Manchester, Nh
• M••••• S•••••• D• I••• unclassified
  Mar 23, 2006 to Apr 2, 2007 · Nashua, Nh

• N•••••••• F•••••••• P•••••••• L•• to D•••• W••••• A•••••••
  left May 8, 2017, registered Apr 5, 2017 (-33 days) · Other
• P•••• S••••••••• L•• to N•••••••• F•••••••• P•••••••• L••
  left May 7, 2012, registered May 2, 2013 (360 days) · Other
• M••••• S•••••• • C•• L•• to P•••• S••••••••• L••
  left Nov 17, 2008, registered Mar 10, 2011 (843 days) · Other
• M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
  left Apr 2, 2007, registered Apr 2, 2007 (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

Independent wealth managerderived

Years in industry

20derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address