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RIA Intelligence
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Feed of 09/14/2026
Also filed as Dave Rice
At current firm
13 y
since Jun 18, 2013
In the industry
32 y
since Jul 25, 1994 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65, 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
- E••••• J•••• national BD currentsince Jun 18, 2013 · O••••, Ne
- B••••••• I••••••••• S•••••••• I••• ••••• formerAug 21, 2006 to Jun 11, 2013 · O••••, Ne
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAMar 7, 2003 to Aug 17, 2006 · O••••, Ne
Moves
a registration end followed by a registration begin elsewhere
- B••••••• I••••••••• S•••••••• I••• ••••• to E••••• J••••left Jun 11, 2013, registered Jun 18, 2013 (7 days) · Other
- M••••• O• O•••• I••••••• S•••••••• I••• to B••••••• I••••••••• S•••••••• I••• •••••left Aug 17, 2006, registered Aug 21, 2006 (4 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address