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RIA Intelligence
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Registered advisor
E••• D•••••
Chartered Financial Consultant
Feed of 09/15/2026
At current firm
7 y
since Jan 29, 2019
In the industry
39 y
since May 12, 1987 (earliest exam, job or registration)
Prior registered firms
5
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
- I••••••••• F•••••••• P••••••• BD affiliated currentsince Jan 29, 2019 · Tampa, Fl
- T••• H•••••• L•• i••••••••• wealthJun 15, 2018 to Jan 2, 2019 · Boca Raton, Fl
- W••••• F•••••••• A•••••••• L•• formerSep 14, 2016 to Jun 1, 2018 · Boca Raton, Fl
- R•• A••••••• i••••••••• wealthAug 2, 2011 to Mar 12, 2012 · Boca Raton, Fl
- V•••••• A•••••••• I••• BD affiliatedMay 4, 2011 to Dec 31, 2016 · Boca Raton, Fl
- N•• A•••••• S•••••••• L•• formerJul 2, 2002 to Oct 16, 2009 · Warren, Nj
Moves
a registration end followed by a registration begin elsewhere
- T••• H•••••• L•• to I••••••••• F•••••••• P•••••••left Jan 2, 2019, registered Jan 29, 2019 (27 days) · RIA to affiliated broker-dealer or bank
- W••••• F•••••••• A•••••••• L•• to T••• H•••••• L••left Jun 1, 2018, registered Jun 15, 2018 (14 days) · RIA to a newly registered adviser
- V•••••• A•••••••• I••• to R•• A•••••••left Dec 31, 2016, registered Aug 2, 2011 (-1978 days) · Other
- R•• A••••••• to W••••• F•••••••• A•••••••• L••left Mar 12, 2012, registered Sep 14, 2016 (1647 days) · Other
- N•• A•••••• S•••••••• L•• to V•••••• A•••••••• I•••left Oct 16, 2009, registered May 4, 2011 (565 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