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Feed of 09/14/2026
Also filed as R••••• A L••••••
At current firm
9 y
since Jul 26, 2017
In the industry
30 y
since Jan 23, 1996 (earliest exam, job or registration)
Prior registered firms
5
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
- G•••• P•••••• W••••• mixed wealth currentsince Jul 26, 2017 · Shelton, Ct
- K••••• A••••••• S•••••••• L•• BD affiliatedSep 19, 2016 to Jul 26, 2017 · Austin, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 31, 2015 to Sep 7, 2016 · Hamden, Ct
- P••• A••••• S••••••••• L•• BD affiliatedMay 31, 2013 to Jul 23, 2015 · New Haven, Ct
- E•••••••• A•••••••• L•• national BDOct 11, 2011 to Nov 20, 2012 · Milford, Ct
- M••••• S•••••• wirehouseJan 20, 2011 to Aug 19, 2011 · New Haven, Ct
Moves
a registration end followed by a registration begin elsewhere
- K••••• A••••••• S•••••••• L•• to G•••• P•••••• W•••••left Jul 26, 2017, registered Jul 26, 2017 (0 days) · Other
- M•• I•••••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 7, 2016, registered Sep 19, 2016 (12 days) · Other
- P••• A••••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Jul 23, 2015, registered Aug 31, 2015 (39 days) · Other
- E•••••••• A•••••••• L•• to P••• A••••• S••••••••• L••left Nov 20, 2012, registered May 31, 2013 (192 days) · Other
- M••••• S•••••• to E•••••••• A•••••••• L••left Aug 19, 2011, registered Oct 11, 2011 (53 days) · Wirehouse to affiliated broker-dealer or bank
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address