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RIA Intelligence
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Registered advisor
R••••• C• V••••
Feed of 09/14/2026
Also filed as R••••• Charles V••••
At current firm
6 y
since Dec 3, 2019
In the industry
30 y
since Nov 24, 1995 (earliest exam, job or registration)
Prior registered firms
1
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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Dec 3, 2019 · West Nyack, Ny
- M••••• S•••••• wirehouseJul 26, 2019 to Dec 4, 2019 · New Haven, Ct
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Dec 4, 2019, registered Dec 3, 2019 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address