RIA Intelligence

• E•••••• A••••••• G••••• L•• BD affiliated current
  since Apr 24, 2020 · Greenwood Village, Co
• P•• W••••• M••••••••• BD affiliated
  Apr 24, 2015 to Jun 20, 2018 · Hackettstown, Nj
• J••• M••••• S••••••••• L•• wirehouse
  Apr 29, 2014 to Apr 8, 2015 · Morristown, Nj
• V•• L•••••• • C••••••• L•• former
  Feb 5, 2013 to Mar 7, 2014 · Princeton, Nj
• L•• F•••••••• L•• BD affiliated
  Dec 6, 2012 to Mar 10, 2014 · Princeton, Nj

• P•• W••••• M••••••••• to E•••••• A••••••• G••••• L••
  left Jun 20, 2018, registered Apr 24, 2020 (674 days) · Other
• J••• M••••• S••••••••• L•• to P•• W••••• M•••••••••
  left Apr 8, 2015, registered Apr 24, 2015 (16 days) · Other
• L•• F•••••••• L•• to V•• L•••••• • C••••••• L••
  left Mar 10, 2014, registered Feb 5, 2013 (-398 days) · Other
• V•• L•••••• • C••••••• L•• to J••• M••••• S••••••••• L••
  left Mar 7, 2014, registered Apr 29, 2014 (53 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

15derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address