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RIA Intelligence
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Registered advisor
S••••• M•••••• S••••••
Chartered Financial Analyst
Feed of 09/14/2026
Also filed as S••••• M S••••••
At current firm
1 y
since Jan 1, 2025
In the industry
29 y
since Jul 8, 1997 (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
n/a
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- N•••••• C•••••• M••••••••• L•• independent RIA currentsince Jan 1, 2025 · South Pasadena, Ca
- T•••• A•••• M••••••••• L•• unclassifiedJul 8, 1997 to Jul 6, 2009 · Beverly Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- T•••• A•••• M••••••••• L•• to N•••••• C•••••• M••••••••• L••left Jul 6, 2009, registered Jan 1, 2025 (5658 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address