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RIA Intelligence
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Registered advisor
D•••• I••••
Feed of 09/14/2026
At current firm
1 y
since Nov 14, 2024
In the industry
26 y
since Sep 28, 1999 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
3
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
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Mineola, Ny
- P•••• S••••••••• L•• no RAUMJul 12, 2021 to Nov 14, 2024 · Forest Hills, Ny
- A••••• A•• P••••••• S••••••• BD affiliatedFeb 11, 2014 to Nov 13, 2020 · New York, Ny
- S•••••••• S••••••••• BD affiliatedDec 14, 2012 to Jan 24, 2014 · Manhasset, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 6, 2012 · Garden City, Ny
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Garden City, Ny
- M••••• S•••••• D• I••• unclassifiedJan 3, 2006 to Apr 2, 2007 · Garden City, Ny
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- A••••• A•• P••••••• S••••••• to P•••• S••••••••• L••left Nov 13, 2020, registered Jul 12, 2021 (241 days) · Affiliated broker-dealer or bank to another
- S•••••••• S••••••••• to A••••• A•• P••••••• S•••••••left Jan 24, 2014, registered Feb 11, 2014 (18 days) · Other
- M••••• S•••••• to S•••••••• S•••••••••left Nov 6, 2012, registered Dec 14, 2012 (38 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address