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RIA Intelligence
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Registered advisor
M••• A••• D•••
Feed of 09/15/2026
At current firm
3 y
since Apr 7, 2023
In the industry
40 y
since Sep 24, 1985 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
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••••• I••••••••• A••••••• L•• BD affiliated currentsince Apr 7, 2023 · Mountain Village, Co
- S••••• F•••••••• G•••• I•• formerNov 20, 2018 to May 20, 2021 · Sarasota, Fl
- B• R•••• W••••• M••••••••• formerMar 1, 2007 to May 30, 2018 · Memphis, Tn
- C•••••• S••••••••• O• A••••••• I••• unclassifiedMay 26, 2005 to Mar 1, 2007 · Sarasota, Fl
- U•• F•••••••• S••••••• I••• wirehouseJun 17, 1994 to Mar 11, 2004 · Sarasota, Fl
Moves
a registration end followed by a registration begin elsewhere
- S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••left May 20, 2021, registered Apr 7, 2023 (687 days) · corporate re-registration, not a move
- B• R•••• W••••• M••••••••• to S••••• F•••••••• G•••• I••left May 30, 2018, registered Nov 20, 2018 (174 days) · Other
- C•••••• S••••••••• O• A••••••• I••• to B• R•••• W••••• M•••••••••left Mar 1, 2007, registered Mar 1, 2007 (0 days) · Other
- U•• F•••••••• S••••••• I••• to C•••••• S••••••••• O• A••••••• I•••left Mar 11, 2004, registered May 26, 2005 (441 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address