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RIA Intelligence
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Registered advisor
R•••••• A•••• C•••••••
Feed of 09/14/2026
Also filed as Jr R•••••• A•••• C•••••••
At current firm
6 y
since Nov 19, 2019
In the industry
31 y
since Jul 7, 1995 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
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
- N•••••• A••••••• BD affiliated currentsince Nov 19, 2019 · Arlington Heights, Il
- W•••• F•••• A••••••• wirehouseNov 2, 2012 to Dec 6, 2019 · Arlington Heights, Il
- U•• F•••••••• S••••••• I••• wirehouseOct 3, 2008 to Nov 12, 2012 · Northbrook, Il
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Oct 9, 2008 · Arlington Heights, Il
- A• G• E•••••• • S•••• I••• unclassifiedDec 26, 2000 to Jan 1, 2008 · Arlington Heights, Il
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to N•••••• A•••••••left Dec 6, 2019, registered Nov 19, 2019 (-17 days) · Wirehouse to independent RIA · moved with a team
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Nov 12, 2012, registered Nov 2, 2012 (-10 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Oct 9, 2008, registered Oct 3, 2008 (-6 days) · Wirehouse to wirehouse
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address