RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since May 1, 2025 · Millbury, Ma
• G•••• P•••• A•••••••• L•• former
  Apr 1, 2021 to May 1, 2025 · Rockville, Md
• H• B•••• I••• former
  May 19, 2011 to Apr 1, 2021 · Millbury, Ma
• L•• F•••••••• L•• BD affiliated
  Mar 10, 2009 to May 31, 2011 · Worcester, Ma
• O•••• F•• I••• former
  Feb 24, 2006 to Feb 27, 2009 · Worcester, Ma
• N•• E•••••• S••••••••• C••••••••• former
  Jun 21, 2002 to Feb 28, 2006 · Worcester, Ma

• G•••• P•••• A•••••••• L•• to L•• F•••••••• L••
  left May 1, 2025, registered May 1, 2025 (0 days) · corporate re-registration, not a move
• H• B•••• I••• to G•••• P•••• A•••••••• L••
  left Apr 1, 2021, registered Apr 1, 2021 (0 days) · corporate re-registration, not a move
• L•• F•••••••• L•• to H• B•••• I•••
  left May 31, 2011, registered May 19, 2011 (-12 days) · Other
• O•••• F•• I••• to L•• F•••••••• L••
  left Feb 27, 2009, registered Mar 10, 2009 (11 days) · Other
• N•• E•••••• S••••••••• C••••••••• to O•••• F•• I•••
  left Feb 28, 2006, registered Feb 24, 2006 (-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

Broker-dealer affiliated wealth managerderived

Years in industry

38derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address