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RIA Intelligence
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Feed of 09/14/2026
At current firm
0 y
since Apr 24, 2026
In the industry
30 y
since Nov 2, 1995 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Apr 24, 2026 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseMar 13, 2012 to May 5, 2026 · New York, Ny
- B••••••• C•••••• I••• formerJan 23, 2009 to Mar 7, 2012 · New York, Ny
- L••••• B••••••• I••• unclassifiedJul 24, 2008 to Oct 15, 2008 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left May 5, 2026, registered Apr 24, 2026 (-11 days) · Wirehouse to wirehouse · moved with a team
- B••••••• C•••••• I••• to U•• F•••••••• S••••••• I•••left Mar 7, 2012, registered Mar 13, 2012 (6 days) · Other
- L••••• B••••••• I••• to B••••••• C•••••• I•••left Oct 15, 2008, registered Jan 23, 2009 (100 days) · corporate re-registration, not a move
Signals
- J••••• I••••••• left U•• F•••••••• S••••••• I••• for M••••• S•••••• (registered 2026-04-24)May 5, 2026 · 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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address