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RIA Intelligence
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Registered advisor
M••• R•••••• L•••••••
Feed of 09/15/2026
At current firm
5 y
since Mar 26, 2021
In the industry
34 y
since Oct 16, 1991 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- K•• I••••••••• S••••••• L•• BD affiliated currentsince Mar 26, 2021 · Brooklyn, Oh
- L•• F•••••••• L•• BD affiliatedDec 13, 2012 to Sep 21, 2016 · Hilton, Ny
- H••• S••••••••• •••• I••• BD affiliatedJan 5, 2009 to Nov 5, 2012 · New York City, Ny
- C•••• I••••••••• S••••••• C•••• formerJul 22, 1997 to Jun 8, 2007 · Rochester, Ny
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to K•• I••••••••• S••••••• L••left Sep 21, 2016, registered Mar 26, 2021 (1647 days) · Other · moved with a team
- H••• S••••••••• •••• I••• to L•• F•••••••• L••left Nov 5, 2012, registered Dec 13, 2012 (38 days) · Other
- C•••• I••••••••• S••••••• C•••• to H••• S••••••••• •••• I•••left Jun 8, 2007, registered Jan 5, 2009 (577 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address