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RIA Intelligence
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Registered advisor
S•••• L•• S••••
Feed of 09/14/2026
Also filed as S•••• S••••
At current firm
21 y
since Aug 25, 2005
In the industry
42 y
since Feb 10, 1984 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Aug 25, 2005 · Boston, Ma
- B••••• I••••••••• M••••••••• L•• formerJan 27, 2010 to Jun 30, 2020 · Boston, Ma
- B••••• I••••••••• M••••••••• L•• formerAug 15, 2006 to Dec 31, 2009 · Boston, Ma
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Aug 26, 2005 · Boston, Ma
- Q•••• • R•••••• I••• unclassifiedSep 29, 2004 to Oct 20, 2004 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- B••••• I••••••••• M••••••••• L•• to no registered destinationleft Jun 30, 2020 · Departure, no registered destination
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••••••••• F•••••••• N••••••left Aug 26, 2005, registered Aug 25, 2005 (-1 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- National broker-dealer RIAderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address