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RIA Intelligence
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Registered advisor
S•••• P••• B••••••••
Feed of 09/14/2026
Also filed as S•••• B••••••••
At current firm
1 y
since Mar 31, 2025
In the industry
39 y
since Oct 6, 1986 (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
S66, 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 · Grapevine, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- F••••••• P••••••• T•••• C••••••• F•• unclassifiedAug 23, 2006 to Mar 28, 2007 · Westlake, Tx
- S•••••••• A••••••• L•• national BDAug 17, 2006 to Jul 13, 2018 · Westlake, Tx
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
- S•••••••• A••••••• L•• to F••••••• P••••••• T•••• C••••••• F••left Jul 13, 2018, registered Aug 23, 2006 (-4342 days) · Other · moved with a team
- F••••••• P••••••• T•••• C••••••• F•• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 28, 2007, registered Jul 13, 2018 (4125 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address