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RIA Intelligence
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Registered advisor
S•••• C••••••••• D••••
Feed of 09/14/2026
At current firm
17 y
since Mar 4, 2009
In the industry
37 y
since Jun 21, 1989 (earliest exam, job or registration)
Prior registered firms
1
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
- S•• C••••••• I••• state registered currentsince Mar 4, 2009 · Charlotte, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 31, 2001 to Feb 27, 2004 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to S•• C••••••• I•••left Feb 27, 2004, registered Mar 4, 2009 (1832 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
- STATE REGISTEREDderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address