RIA Intelligence

• M•• I•••••••• S•••••••• L•• BD affiliated current
  since Sep 5, 2019 · Colchester, Vt
• E•• F•••••••• A••••••• independent RIA
  Apr 25, 2007 to Sep 3, 2019 · Colchester, Vt
• M••••• S•••••• • C•• L•• unclassified
  Apr 2, 2007 to Apr 9, 2007 · Burlington, Vt
• M••••• S•••••• D• I••• unclassified
  Aug 22, 2006 to Apr 2, 2007 · Burlington, Vt

• E•• F•••••••• A••••••• to M•• I•••••••• S•••••••• L••
  left Sep 3, 2019, registered Sep 5, 2019 (2 days) · Affiliated broker-dealer or bank to another
• M••••• S•••••• • C•• L•• to E•• F•••••••• A•••••••
  left Apr 9, 2007, registered Apr 25, 2007 (16 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

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