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Registered advisor
R•••••• S•••• M••••••
Feed of 09/14/2026
Also filed as Rich M••••••
At current firm
2 y
since Mar 21, 2024
In the industry
35 y
since Jun 3, 1991 (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
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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Caldwell, Nj
- I•••••••• C•••••• A••••••• formerMay 17, 2005 to Oct 3, 2016 · Lynnfield, Ma
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerOct 4, 2002 to Jun 9, 2005 · Montclair, Nj
- R••• B••• • C•• unclassifiedJul 18, 2002 to Aug 28, 2002 · Fort Lee, Nj
Moves
a registration end followed by a registration begin elsewhere
- I•••••••• C•••••• A••••••• to C••••• I••••••••• A••••••• L••left Oct 3, 2016, registered Mar 21, 2024 (2726 days) · corporate re-registration, not a move
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to I•••••••• C•••••• A•••••••left Jun 9, 2005, registered May 17, 2005 (-23 days) · Other
- R••• B••• • C•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Aug 28, 2002, registered Oct 4, 2002 (37 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address