RIA Intelligence

• G••••••••• W••••• M••••••••• state registered current
  since Feb 4, 2020 · Great Neck, Ny
• G••••••••• W••••• M••••••••• state registered
  Jan 25, 2017 to Dec 31, 2019 · Great Neck, Ny
• A••••••••• F•••••••• S•••••••• L•• national BD
  Nov 1, 2013 to Aug 2, 2016 · Parsippany, Nj
• M•• I•••••••• S•••••••• L•• BD affiliated
  Apr 25, 2013 to Nov 5, 2013 · Warren, Nj

• A••••••••• F•••••••• S•••••••• L•• to G••••••••• W••••• M•••••••••
  left Aug 2, 2016, registered Jan 25, 2017 (176 days) · Affiliated broker-dealer or bank to a state-registered adviser
• M•• I•••••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••
  left Nov 5, 2013, registered Nov 1, 2013 (-4 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

STATE REGISTEREDderived

Years in industry

16derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address