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RIA Intelligence
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Registered advisor
C••••• M••• N•••••
Feed of 09/14/2026
At current firm
13 y
since Dec 14, 2012
In the industry
27 y
since Feb 4, 1999 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
6
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
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Dec 14, 2012 · Portland, Or
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 3, 2011 to Dec 10, 2012 · Portland, Or
- V••• F•••••••• P•••••••• L•• formerSep 14, 2006 to Jan 3, 2011 · Portland, Or
- S•••••••• A••••••• L•• national BDJul 21, 2003 to Jun 14, 2006 · Tigard, Or
Moves
a registration end followed by a registration begin elsewhere
- V••• F•••••••• A•••••••• I••• to V•••• F•••••••• A•••••••• I•••left Dec 10, 2012, registered Dec 14, 2012 (4 days) · Other
- V••• F•••••••• P•••••••• L•• to V••• F•••••••• A•••••••• I•••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to V••• F•••••••• P•••••••• L••left Jun 14, 2006, registered Sep 14, 2006 (92 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address