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RIA Intelligence
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Registered advisor
R••••• S•••• P••••
Feed of 09/15/2026
Also filed as S•••• P••••
At current firm
17 y
since Dec 16, 2008
In the industry
34 y
since May 19, 1992 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
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
- F•••• T•••• S••••••••• I••• BD affiliated currentsince Dec 16, 2008 · Sterling, Il
- C••••• I••••••••• S••••••• L•• formerJul 3, 2003 to Oct 31, 2003 · Valentine, Ne
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• S••••••• L•• to F•••• T•••• S••••••••• I•••left Oct 31, 2003, registered Dec 16, 2008 (1873 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