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RIA Intelligence
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Registered advisor
R••••• N••••• H•••••••
Feed of 09/14/2026
Also filed as R••••• N H•••••••
At current firm
3 y
since Dec 15, 2022
In the industry
31 y
since May 30, 1995 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Dec 15, 2022 · Sammamish, Wa
- A••••••••• F•••••••• S•••••••• L•• national BDJun 21, 2019 to Dec 21, 2022 · Kirkland, Wa
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 3, 2011 to Jun 6, 2019 · Honolulu, Hi
- V••• F•••••••• P•••••••• L•• formerJan 4, 2007 to Jan 3, 2011 · Honolulu, Hi
- C••••• A•••••• N••••••• L•• formerMay 11, 1999 to Dec 31, 2006 · Honolulu, Hi
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Dec 21, 2022, registered Dec 15, 2022 (-6 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- V••• F•••••••• A•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jun 6, 2019, registered Jun 21, 2019 (15 days) · Affiliated broker-dealer or bank to another
- V••• F•••••••• P•••••••• L•• to V••• F•••••••• A•••••••• I•••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- C••••• A•••••• N••••••• L•• to V••• F•••••••• P•••••••• L••left Dec 31, 2006, registered Jan 4, 2007 (4 days) · Other
Signals
- R••••• N••••• H••••••• left A••••••••• F•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2022-12-15)Dec 21, 2022 · a•••••• firm change · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address