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RIA Intelligence
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Registered advisor
M•••••• D••••• R•••••
Feed of 09/14/2026
At current firm
14 y
since Dec 21, 2011
In the industry
38 y
since Mar 1, 1988 (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
S65, 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
- O••••••••• • C•• I••• BD affiliated currentsince Dec 21, 2011 · Cincinnati, Oh
- R•••••• J•••• • A••••••••• I••• national BDMay 10, 2006 to Dec 20, 2011 · Cincinnati, Oh
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to May 20, 2006 · Cincinnati, Oh
- L••• M•••• W••• W•••••• I••••••••• unclassifiedNov 26, 1999 to Feb 21, 2006 · Cincinnati, Oh
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to O••••••••• • C•• I•••left Dec 20, 2011, registered Dec 21, 2011 (1 days) · Other
- C•••••••• G••••• M•••••• I••• to R•••••• J•••• • A••••••••• I•••left May 20, 2006, registered May 10, 2006 (-10 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address