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RIA Intelligence
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Registered advisor
G••• E••••• S••••
Feed of 09/14/2026
At current firm
2 y
since Jun 14, 2024
In the industry
26 y
since Nov 23, 1999 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
6
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66, 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
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Rochester, Ny
- S••••••••• A•••••• A•••••••• I••• formerDec 4, 2017 to Jun 14, 2024 · Rochester, Ny
- I••••• F•••••••• C••••••••• formerJun 23, 2011 to Dec 5, 2017 · Amherst, Ny
- E••••••• F•••••••• S•••••••• I••• unclassifiedDec 10, 2009 to Jun 23, 2011 · Fairport, Ny
- W••• S••••• F•••••••• G••••• I•• formerApr 22, 2009 to Jul 6, 2009 · Victor, Ny
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- I••••• F•••••••• C••••••••• to S••••••••• A•••••• A•••••••• I•••left Dec 5, 2017, registered Dec 4, 2017 (-1 days) · Other · moved with a team
- E••••••• F•••••••• S•••••••• I••• to I••••• F•••••••• C•••••••••left Jun 23, 2011, registered Jun 23, 2011 (0 days) · Other
- W••• S••••• F•••••••• G••••• I•• to E••••••• F•••••••• S•••••••• I•••left Jul 6, 2009, registered Dec 10, 2009 (157 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address