RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Oct 16, 2023 · San Diego, Ca
• C•••••• G•••• • C• I•• former
  Jul 18, 2013 to Oct 18, 2023 · Selkirk, Ny
• R•• C•••••• M••••••• L•• national BD
  Jan 30, 2013 to Jul 26, 2013 · Albany, Ny
• V• C••••••• L•• former
  Oct 17, 2011 to Mar 6, 2012 · Glenview, Il
• I•• A••••••••• L•• state registered
  May 25, 2011 to Oct 24, 2011 · Evanston, Il

• C•••••• G•••• • C• I•• to L•• F•••••••• L••
  left Oct 18, 2023, registered Oct 16, 2023 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
• R•• C•••••• M••••••• L•• to C•••••• G•••• • C• I••
  left Jul 26, 2013, registered Jul 18, 2013 (-8 days) · Other
• V• C••••••• L•• to R•• C•••••• M••••••• L••
  left Mar 6, 2012, registered Jan 30, 2013 (330 days) · Other
• I•• A••••••••• L•• to V• C••••••• L••
  left Oct 24, 2011, registered Oct 17, 2011 (-7 days) · Other

• J••••• R• D••••••• left C•••••• G•••• • C• I•• for L•• F•••••••• L•• (registered 2023-10-16)
  Oct 18, 2023 · Advisor changed firm · fact

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

16derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address