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RIA Intelligence
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Registered advisor
J••• L• S••••••
Feed of 09/15/2026
Also filed as J••• S••••••
At current firm
9 y
since Aug 17, 2017
In the industry
27 y
since Jan 20, 1999 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
3
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
- S••••••• F•••••••• I••••••••• A••••••• L•• institutional currentsince Jun 1, 2021 · Carmel, In
- C•••••• A••••••• BD affiliated currentsince Aug 17, 2017 · Carmel, In
- L•••••• I••••••••• independent RIA currentsince Aug 17, 2017 · Canton, Ga
- S•••••••• F••••••••• I••• formerOct 31, 2008 to Aug 22, 2017 · Indianapolis, In
- A••••••• G•••••• S••••••••• I••••••••• unclassifiedAug 3, 2001 to Oct 31, 2008 · Fishers, In
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• F••••••••• I••• to L•••••• I•••••••••left Aug 22, 2017, registered Aug 17, 2017 (-5 days) · Other
- A••••••• G•••••• S••••••••• I••••••••• to S•••••••• F••••••••• I•••left Oct 31, 2008, registered Oct 31, 2008 (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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address