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RIA Intelligence
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Registered advisor
E•••• R••• S•••••••
Feed of 09/14/2026
Also filed as E•••• R••• S•••••••
At current firm
14 y
since Oct 19, 2011
In the industry
33 y
since Oct 19, 1992 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Oct 19, 2011 · Clinton, Mn
- V••• F•••••••• A•••••••• I••• BD affiliatedJun 30, 2011 to Sep 12, 2011 · San Diego, Ca
- N•• A•••••• S•••••••• L•• formerFeb 14, 2006 to Dec 31, 2009 · Dallas, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 8, 2004 to Aug 11, 2004 · Southlake, Tx
Moves
a registration end followed by a registration begin elsewhere
- V••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left Sep 12, 2011, registered Oct 19, 2011 (37 days) · Other
- N•• A•••••• S•••••••• L•• to V••• F•••••••• A•••••••• I•••left Dec 31, 2009, registered Jun 30, 2011 (546 days) · Other
- C•••••••• G••••• M•••••• I••• to N•• A•••••• S•••••••• L••left Aug 11, 2004, registered Feb 14, 2006 (552 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address