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RIA Intelligence
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Registered advisor
M•••••• R••• S••••
Feed of 09/14/2026
At current firm
0 y
since May 15, 2026
In the industry
24 y
since Dec 11, 2001 (earliest exam, job or registration)
Prior registered firms
4
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•••• I••••••••• I••• BD affiliated currentsince May 15, 2026 · Torrington, Ct
- O•••• I••••••••• I••• BD affiliatedSep 5, 2017 to Apr 14, 2025 · Goshen, Ct
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedAug 23, 2010 to Jul 21, 2017 · Torrington, Ct
- O•••• I••••••••• I••• BD affiliatedOct 5, 2006 to Aug 20, 2010 · Torrington, Ct
- T•• M••••••••• T•••• C•••••• unclassifiedJun 16, 2005 to Sep 26, 2006 · Hartford, Ct
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to O•••• I••••••••• I•••left Jul 21, 2017, registered Sep 5, 2017 (46 days) · Other
- O•••• I••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 20, 2010, registered Aug 23, 2010 (3 days) · Other
- T•• M••••••••• T•••• C•••••• to O•••• I••••••••• I•••left Sep 26, 2006, registered Oct 5, 2006 (9 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address