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RIA Intelligence
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Registered advisor
R••••• R•••• R••••••••
Feed of 09/14/2026
At current firm
8 y
since Nov 20, 2017
In the industry
39 y
since Oct 27, 1986 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
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
- L•• F•••••••• L•• BD affiliated currentsince Nov 20, 2017 · Wilmington, De
- W•••• F•••• A••••••• wirehouseJul 31, 2014 to Nov 29, 2017 · Hockessin, De
- M•• S••••••••• I••• unclassifiedDec 22, 2011 to Aug 5, 2014 · Wilmington, De
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 12, 2009 to Dec 23, 2011 · Woodstown, Nj
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedSep 8, 2008 to Jan 12, 2009 · Bristol, Pa
- P•• W••••• M••••••••• BD affiliatedOct 11, 2005 to Oct 6, 2006 · Gloucester, Nj
- E•••• N••••••• S••••••••• I••• formerJul 24, 2003 to Dec 6, 2004 · Sewell, Nj
- M••••• S•••••• D• I••• unclassifiedJun 6, 2002 to Nov 4, 2002 · Mt. Laurel, Nj
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to L•• F•••••••• L••left Nov 29, 2017, registered Nov 20, 2017 (-9 days) · Wirehouse to independent RIA
- M•• S••••••••• I••• to W•••• F•••• A•••••••left Aug 5, 2014, registered Jul 31, 2014 (-5 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M•• S••••••••• I•••left Dec 23, 2011, registered Dec 22, 2011 (-1 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 12, 2009, registered Jan 12, 2009 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to R•••••• J•••• F•••••••• S•••••••• I•••left Oct 6, 2006, registered Sep 8, 2008 (703 days) · Other
- E•••• N••••••• S••••••••• I••• to P•• W••••• M•••••••••left Dec 6, 2004, registered Oct 11, 2005 (309 days) · Other
- M••••• S•••••• D• I••• to E•••• N••••••• S••••••••• I•••left Nov 4, 2002, registered Jul 24, 2003 (262 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address