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RIA Intelligence
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Feed of 09/14/2026
At current firm
8 y
since Nov 14, 2017
In the industry
28 y
since Sep 1, 1998 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- F••••• I••••••••• independent RIA currentsince Nov 14, 2017 · Plano, Tx
- S•••••••• I••••••••• M••••••••• formerJan 27, 2017 to Nov 14, 2017 · Saint Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 7, 2009 to Sep 7, 2016 · Dallas, Tx
- T• A••••••••• I••• formerJul 7, 2009 to Sep 7, 2016 · Dallas, Tx
- C•••••• S••••• • C••• I••• national BDJan 31, 2008 to Jun 22, 2009 · Dallas, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 15, 2006 to Jan 23, 2008 · Dallas, Tx
- T• A••••••••• I••• formerJun 7, 2005 to Jan 23, 2008 · Dallas, Tx
- M••••• K••••• • C••••••• L•• formerOct 1, 2002 to Apr 2, 2004 · Dallas, Tx
- U•• F•••••••• S••••••• I••• wirehouseAug 30, 2001 to Oct 10, 2002 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• I••••••••• M••••••••• to F••••• I•••••••••left Nov 14, 2017, registered Nov 14, 2017 (0 days) · Other · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• I••••••••• M•••••••••left Sep 7, 2016, registered Jan 27, 2017 (142 days) · Other · moved with a team
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 7, 2016, registered Jul 7, 2009 (-2619 days) · channel change inside one enterprise, not a move
- C•••••• S••••• • C••• I••• to T• A••••••••• I•••left Jun 22, 2009, registered Jul 7, 2009 (15 days) · Affiliated broker-dealer or bank to a newly registered adviser
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Jan 23, 2008, registered Jan 31, 2008 (8 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 23, 2008, registered May 15, 2006 (-618 days) · channel change inside one enterprise, not a move
- M••••• K••••• • C••••••• L•• to T• A••••••••• I•••left Apr 2, 2004, registered Jun 7, 2005 (431 days) · Other
- U•• F•••••••• S••••••• I••• to M••••• K••••• • C••••••• L••left Oct 10, 2002, registered Oct 1, 2002 (-9 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address