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RIA Intelligence
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Registered advisor
L••• L•••• R••••
Feed of 09/14/2026
At current firm
8 y
since Jul 12, 2018
In the industry
29 y
since Apr 23, 1997 (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
S66, 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
- M••••• S•••••• wirehouse currentsince Jul 12, 2018 · West Des Moines, Ia
- A••••••••• F•••••••• S•••••••• L•• national BDMar 18, 2015 to Jun 26, 2018 · Dubuque, Ia
- I•••••• A•••••••• I••• asset managerNov 16, 2010 to Jan 3, 2011 · Atlanta, Ga
- V•• K••••• A••••••• I•• unclassifiedJun 9, 2005 to Jun 4, 2010 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••left Jun 26, 2018, registered Jul 12, 2018 (16 days) · Affiliated broker-dealer or bank to wirehouse
- I•••••• A•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jan 3, 2011, registered Mar 18, 2015 (1535 days) · Other
- V•• K••••• A••••••• I•• to I•••••• A•••••••• I•••left Jun 4, 2010, registered Nov 16, 2010 (165 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address