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RIA Intelligence
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Registered advisor
P•••• R••• G••••••
Feed of 09/14/2026
At current firm
4 y
since Dec 2, 2021
In the industry
56 y
since Sep 1, 1970 (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
S65, S63
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•• S••••••••• I••• BD affiliated currentsince Dec 2, 2021 · Norwalk, Ct
- B• R•••• W••••• A•••••••• I••• BD affiliatedMay 8, 2014 to Jun 17, 2015 · Norwalk, Ct
- B• R•••• W••••• A•••••••• I••• BD affiliatedMay 2, 2014 to May 6, 2014 · Norwalk, Ct
- A•••• • F•••••••• P•••••••• L•• formerNov 12, 2010 to May 6, 2014 · Norwalk, Ct
Moves
a registration end followed by a registration begin elsewhere
- B• R•••• W••••• A•••••••• I••• to G•• S••••••••• I•••left Jun 17, 2015, registered Dec 2, 2021 (2360 days) · Other · moved with a team
- A•••• • F•••••••• P•••••••• L•• to B• R•••• W••••• A•••••••• I•••left May 6, 2014, registered May 2, 2014 (-4 days) · corporate re-registration, not a move
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
- 56derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address