M•••••• R••••• L•••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedMonument, Codual registrantIAPD 3033168

Feed of 09/14/2026

Also filed as M••• L•••

At current firm

1 y

since Sep 8, 2025

In the industry

28 y

since Apr 29, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since Sep 8, 2025 · Monument, Co
C••••••••• F•••••••• N•••••• national BD
Jan 16, 2015 to Sep 8, 2025 · Monument, Co
L•• F•••••••• L•• BD affiliated
Mar 21, 2003 to Jan 27, 2015 · Monument, Co

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Sep 8, 2025, registered Sep 8, 2025 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
L•• F•••••••• L•• to C••••••••• F•••••••• N••••••
left Jan 27, 2015, registered Jan 16, 2015 (-11 days) · Other

Signals

••• Locked
Sep 8, 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address