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RIA Intelligence
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Registered advisor
R•••••• M••••• I••
Feed of 09/15/2026
Also filed as R•••••• M Ina
At current firm
3 y
since Jun 2, 2023
In the industry
38 y
since Dec 7, 1987 (earliest exam, job or registration)
Prior registered firms
4
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- N•• E••• W••••• BD affiliated currentsince Jun 2, 2023 · Franklin, Tn
- U•• F•••••••• S••••••• I••• wirehouseJan 12, 2010 to Jun 13, 2023 · San Diego, Ca
- W•••• F•••• I••••••••• L•• unclassifiedNov 30, 2004 to Jan 20, 2010 · San Diego, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 11, 2003 to Nov 22, 2004 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 22, 1998 to Aug 12, 2003 · Chagrin Falls, Oh
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to N•• E••• W•••••left Jun 13, 2023, registered Jun 2, 2023 (-11 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to U•• F•••••••• S••••••• I•••left Jan 20, 2010, registered Jan 12, 2010 (-8 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• I••••••••• L••left Nov 22, 2004, registered Nov 30, 2004 (8 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 12, 2003, registered Aug 11, 2003 (-1 days) · Other
Signals
- R•••••• M••••• I•• left U•• F•••••••• S••••••• I••• for N•• E••• W••••• (registered 2023-06-02)Jun 13, 2023 · Advisor changed firm · fact
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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address