RIA Intelligence

• M•• I•••••••• S•••••••• L•• BD affiliated current
  since May 14, 2019 · Springfield, Ma
• F•••••••• V••••• A••••••• S•••••••• L•• unclassified
  May 28, 2015 to Aug 17, 2017 · East Hartford, Ct
• I••••••••• F•••••••• G••••• L•• BD affiliated
  Mar 14, 2014 to May 27, 2015 · San Diego, Ca
• L•• F•••••••• L•• BD affiliated
  Mar 4, 2013 to Mar 21, 2014 · Hartford, Ct

• F•••••••• V••••• A••••••• S•••••••• L•• to M•• I•••••••• S•••••••• L••
  left Aug 17, 2017, registered May 14, 2019 (635 days) · Other
• I••••••••• F•••••••• G••••• L•• to F•••••••• V••••• A••••••• S•••••••• L••
  left May 27, 2015, registered May 28, 2015 (1 days) · Other
• L•• F•••••••• L•• to I••••••••• F•••••••• G••••• L••
  left Mar 21, 2014, registered Mar 14, 2014 (-7 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

13derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address