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RIA Intelligence
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Registered advisor
B•••• C••• A••••••
Feed of 09/15/2026
Also filed as B•••• C••• A••••••
At current firm
1 y
since Mar 31, 2025
In the industry
23 y
since Aug 13, 2003 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Philadelphia, Pa
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 5, 2019 to Mar 31, 2025 · Philadelphia, Pa
- C•••••• S••••• • C••• I••• national BDApr 27, 2015 to Jul 22, 2019 · Wayne, Pa
- E•••••• C•••••• M••••••••• L•• formerSep 16, 2008 to Apr 15, 2015 · Arlington, Va
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 5, 2006 to Jul 12, 2006 · Philadalphia, Pa
- T• A••••••••• I••• formerApr 21, 2005 to Jul 12, 2006 · Philadelphia, Pa
- P•• W••••• M••••••••• BD affiliatedJun 9, 2004 to Apr 15, 2005 · Bryn Mawr, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 13, 2003 to May 17, 2004 · Wayne, Pa
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 22, 2019, registered Aug 5, 2019 (14 days) · Affiliated broker-dealer or bank to another
- E•••••• C•••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Apr 15, 2015, registered Apr 27, 2015 (12 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to E•••••• C•••••• M••••••••• L••left Jul 12, 2006, registered Sep 16, 2008 (797 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 12, 2006, registered May 5, 2006 (-68 days) · channel change inside one enterprise, not a move
- P•• W••••• M••••••••• to T• A••••••••• I•••left Apr 15, 2005, registered Apr 21, 2005 (6 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left May 17, 2004, registered Jun 9, 2004 (23 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address