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RIA Intelligence
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Registered advisor
D•••• S••••• O•••••
Feed of 09/15/2026
At current firm
11 y
since Jun 18, 2015
In the industry
42 y
since Jun 1, 1984 (earliest exam, job or registration)
Prior registered firms
2
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
- G•• S••••••••• I••• BD affiliated currentsince Jun 18, 2015 · Palm Beach Gardens, Fl
- B• R•••• W••••• A•••••••• I••• BD affiliatedMay 20, 2014 to Jun 19, 2015 · Norwalk, Ct
- A•••• • F•••••••• P•••••••• L•• formerOct 18, 2010 to May 12, 2014 · Norwalk, Ct
Moves
a registration end followed by a registration begin elsewhere
- B• R•••• W••••• A•••••••• I••• to G•• S••••••••• I•••left Jun 19, 2015, registered Jun 18, 2015 (-1 days) · Other · moved with a team
- A•••• • F•••••••• P•••••••• L•• to B• R•••• W••••• A•••••••• I•••left May 12, 2014, registered May 20, 2014 (8 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address