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RIA Intelligence
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Registered advisor
H• S••••• S•••••
Feed of 09/14/2026
Also filed as Harold S••••• S•••••
At current firm
1 y
since Jan 7, 2025
In the industry
42 y
since Nov 2, 1983 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S••••• W••••• M••••••••• L•• independent RIA currentsince Jan 7, 2025 · Los Angeles, Ca
- L•• F•••••••• L•• BD affiliatedApr 7, 1998 to Jan 28, 2025 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to S••••• W••••• M••••••••• L••left Jan 28, 2025, registered Jan 7, 2025 (-21 days) · Affiliated broker-dealer or bank to a newly registered adviser
Signals
- H• S••••• S••••• left L•• F•••••••• L•• for S••••• W••••• M••••••••• L•• (registered 2025-01-07)Jan 28, 2025 · Advisor changed firm · fact
Transition signals
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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address