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RIA Intelligence
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Registered advisor
G•••••• S••••• S••••••••
Feed of 09/14/2026
Also filed as G•••••• S••••• S••••••••
At current firm
3 y
since Jun 23, 2023
In the industry
27 y
since Oct 29, 1998 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Jun 23, 2023 · Frisco, Tx
- F••••• I••••••••• independent RIADec 16, 2020 to May 17, 2023 · Plano, Tx
- A••••• A•• P••••••• S••••••• BD affiliatedSep 8, 2015 to Nov 13, 2020 · Frisco, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 30, 2007 to Aug 27, 2015 · Fort Worth, Tx
- T• A••••••••• I••• formerJul 30, 2007 to Aug 27, 2015 · Westlake, Tx
- L•• F•••••••• L•• BD affiliatedOct 29, 1998 to Aug 9, 2002 · Plano, Tx
Moves
a registration end followed by a registration begin elsewhere
- F••••• I••••••••• to A••••• A•• P••••••• S•••••••left May 17, 2023, registered Jun 23, 2023 (37 days) · RIA to affiliated broker-dealer or bank
- A••••• A•• P••••••• S••••••• to F••••• I•••••••••left Nov 13, 2020, registered Dec 16, 2020 (33 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Aug 27, 2015, registered Jul 30, 2007 (-2950 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 27, 2015, registered Jul 30, 2007 (-2950 days) · Other
- L•• F•••••••• L•• to T• A••••••••• I•••left Aug 9, 2002, registered Jul 30, 2007 (1816 days) · Other
Signals
- G•••••• S••••• S•••••••• left F••••• I••••••••• for A••••• A•• P••••••• S••••••• (registered 2023-06-23)May 17, 2023 · Advisor changed firm · fact
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address