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RIA Intelligence
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Registered advisor
L••• M•••• P•••••••
Feed of 09/14/2026
At current firm
2 y
since Nov 2, 2023
In the industry
26 y
since Nov 29, 1999 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66, 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
- T••••••••• R••••••••• A•••••••• L•• BD affiliated currentsince Nov 2, 2023 · Bloomington, Mn
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 25, 2022 to Oct 26, 2023 · Merrimack, Nh
- A••••••••• F•••••••• S•••••••• L•• national BDJan 25, 2018 to Jan 29, 2019 · Minneapolis, Mn
- L•• F•••••••• L•• BD affiliatedSep 15, 2017 to Dec 15, 2017 · Golden Valley, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDMar 30, 2015 to Aug 9, 2017 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to T••••••••• R••••••••• A•••••••• L••left Oct 26, 2023, registered Nov 2, 2023 (7 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 29, 2019, registered Mar 25, 2022 (1151 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Dec 15, 2017, registered Jan 25, 2018 (41 days) · RIA to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Aug 9, 2017, registered Sep 15, 2017 (37 days) · Other
Signals
- L••• M•••• P••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for T••••••••• R••••••••• A•••••••• L•• (registered 2023-11-02)Oct 26, 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address