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Feed of 09/14/2026
Also filed as D•••• Andrew C•••
At current firm
1 y
since Mar 31, 2025
In the industry
30 y
since Feb 29, 1996 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Boulder, Co
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 24, 2020 to Mar 31, 2025 · Boston, Ma
- V••• I••••••••• M••••••••• C•• L•• asset managerOct 15, 2012 to Jun 17, 2014 · New York, Ny
- L•••••• F•••••••• D••••••••• I••• unclassifiedApr 23, 2003 to Jun 13, 2005 · Boulder, Co
- S••••• C•••••• M••••••••• I•• unclassifiedMay 7, 2001 to Apr 4, 2003 · Menomonee Falls, Wi
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- V••• I••••••••• M••••••••• C•• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 17, 2014, registered Nov 24, 2020 (2352 days) · Other
- L•••••• F•••••••• D••••••••• I••• to V••• I••••••••• M••••••••• C•• L••left Jun 13, 2005, registered Oct 15, 2012 (2681 days) · Other
- S••••• C•••••• M••••••••• I•• to L•••••• F•••••••• D••••••••• I•••left Apr 4, 2003, registered Apr 23, 2003 (19 days) · Other
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address