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RIA Intelligence
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Registered advisor
C•••• S•••••• M••••••
Feed of 09/14/2026
At current firm
3 y
since Jun 29, 2023
In the industry
46 y
since Sep 1, 1980 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Mount Kisco, Ny
- S••••• F•••••••• G•••• I•• formerJun 30, 2005 to May 20, 2021 · Mt Kisco, Ny
- S••••• A••• I••••••••• A•••••• S•••••••• I••• formerDec 13, 2004 to Jun 30, 2005 · Hartsdale , Ny
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJul 15, 2002 to Dec 13, 2004 · Hartsdale, Ny
Moves
a registration end followed by a registration begin elsewhere
- S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••left May 20, 2021, registered Jun 29, 2023 (770 days) · corporate re-registration, not a move
- S••••• A••• I••••••••• A•••••• S•••••••• I••• to S••••• F•••••••• G•••• I••left Jun 30, 2005, registered Jun 30, 2005 (0 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S••••• A••• I••••••••• A•••••• S•••••••• I•••left Dec 13, 2004, registered Dec 13, 2004 (0 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address