RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since May 7, 2018 · Boston, Ma
• M••••• S•••••• wirehouse
  May 12, 2016 to Mar 16, 2018 · Boston, Ma
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Oct 28, 2011 to May 9, 2016 · Boca Raton, Fl
• L•• F•••••••• L•• BD affiliated
  Feb 16, 2011 to Sep 29, 2011 · Miramar, Fl
• M••••• S•••••• wirehouse
  Oct 14, 2009 to Sep 30, 2010 · Miami, Fl
• J••• H•••••• I••••••••• M••••••••• L•• asset manager
  Dec 18, 2008 to Sep 24, 2009 · Boston, Ma

• M••••• S•••••• to L•• F•••••••• L••
  left Mar 16, 2018, registered May 7, 2018 (52 days) · Wirehouse to independent RIA
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
  left May 9, 2016, registered May 12, 2016 (3 days) · Wirehouse to wirehouse
• L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Sep 29, 2011, registered Oct 28, 2011 (29 days) · Other
• M••••• S•••••• to L•• F•••••••• L••
  left Sep 30, 2010, registered Feb 16, 2011 (139 days) · Other
• J••• H•••••• I••••••••• M••••••••• L•• to M••••• S••••••
  left Sep 24, 2009, registered Oct 14, 2009 (20 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

18derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address