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RIA Intelligence
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Registered advisor
T••• F•••••• R••••
Feed of 09/14/2026
Also filed as T••• F R••••
At current firm
2 y
since Mar 21, 2024
In the industry
29 y
since Aug 5, 1997 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · San Mateo, Ca
- I•••••••• C•••••• A••••••• formerJan 31, 2007 to Oct 3, 2016 · Lynnfield, Ma
- M••••• S•••••• D• I••• unclassifiedAug 1, 2003 to Aug 29, 2006 · Danvers, Ma
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 13, 2000 to Aug 12, 2003 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
- I•••••••• C•••••• A••••••• to C••••• I••••••••• A••••••• L••left Oct 3, 2016, registered Mar 21, 2024 (2726 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to I•••••••• C•••••• A•••••••left Aug 29, 2006, registered Jan 31, 2007 (155 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S•••••• D• I•••left Aug 12, 2003, registered Aug 1, 2003 (-11 days) · Other
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address