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RIA Intelligence
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Registered advisor
D••••• A•••• S••••
Feed of 09/14/2026
At current firm
1 y
since Jan 21, 2025
In the industry
29 y
since Oct 7, 1996 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
47
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••• S••••••••• I••• BD affiliated currentsince Jan 21, 2025 · Naples, Fl
- C••••••• P•••••• W••••• BD affiliatedApr 4, 2025 to May 1, 2025 · Tarrytown, Ny
- R•• C•••••• M••••••• L•• national BDApr 1, 2015 to Jan 29, 2025 · Naples, Fl
- U•• F•••••••• S••••••• I••• wirehouseDec 3, 1998 to Apr 10, 2015 · Naples, Fl
Moves
a registration end followed by a registration begin elsewhere
- C••••••• P•••••• W••••• to no registered destinationleft May 1, 2025 · Departure, no registered destination
- R•• C•••••• M••••••• L•• to C••••••• S••••••••• I•••left Jan 29, 2025, registered Jan 21, 2025 (-8 days) · Affiliated broker-dealer or bank to another · moved with a team
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Apr 10, 2015, registered Apr 1, 2015 (-9 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Signals
- D••••• A•••• S•••• no longer registered at C••••••• P•••••• W•••••; no later IA registration on IAPDMay 1, 2025 · Advisor departure · fact
- D••••• A•••• S•••• left R•• C•••••• M••••••• L•• for C••••••• S••••••••• I••• (registered 2025-01-21)Jan 29, 2025 · 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address