RIA Intelligence

• P•••••• A•••••• G••••• L•• BD affiliated current
  since Mar 6, 2019 · Morristown, Nj
• S••• W••••• M••••••••• L•• former
  Jan 10, 2014 to Mar 4, 2019 · Morristown, Nj
• J••• M••••• S••••••••• L•• wirehouse
  Oct 1, 2012 to Dec 13, 2013 · Morris Plains, Nj
• C•••• I••••••••• S••••••• C•••• former
  Dec 24, 2009 to Oct 1, 2012 · Morris Plains, Nj
• W•••• F•••• A••••••• wirehouse
  Jan 1, 2008 to Oct 6, 2009 · Morristown, Nj
• A• G• E•••••• • S•••• I••• unclassified
  Dec 3, 2007 to Jan 1, 2008 · St. Louis, Mo

• S••• W••••• M••••••••• L•• to P•••••• A•••••• G••••• L••
  left Mar 4, 2019, registered Mar 6, 2019 (2 days) · RIA to RIA
• J••• M••••• S••••••••• L•• to S••• W••••• M••••••••• L••
  left Dec 13, 2013, registered Jan 10, 2014 (28 days) · Other
• C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
  left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to C•••• I••••••••• S••••••• C••••
  left Oct 6, 2009, registered Dec 24, 2009 (79 days) · Other
• A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
  left Jan 1, 2008, registered Jan 1, 2008 (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

18derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address