RIA Intelligence

• M••• S••••• F•••••••• S••••••••• L•• independent RIA current
  since Sep 20, 2021 · Newtown, Pa
• M••• S••••• F•••••••• S••••••••• L•• former
  Oct 30, 2018 to Jul 1, 2020 · Newtown, Pa
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Jun 3, 2011 to Oct 25, 2018 · New York, Ny
• E•••••••• A•••••••• L•• national BD
  Jun 9, 2009 to Jun 9, 2011 · New York, Ny

• M••• S••••• F•••••••• S••••••••• L•• to M••• S••••• F•••••••• S••••••••• L••
  left Jul 1, 2020, registered Sep 20, 2021 (446 days) · channel change inside one enterprise, not a move · moved with a team
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••• S••••• F•••••••• S••••••••• L••
  left Oct 25, 2018, registered Oct 30, 2018 (5 days) · Wirehouse to independent RIA
• E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Jun 9, 2011, registered Jun 3, 2011 (-6 days) · Affiliated broker-dealer or bank to wirehouse

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

18derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address