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RIA Intelligence
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Registered advisor
S•••••• M• A•••••••
Feed of 09/14/2026
At current firm
12 y
since Sep 23, 2013
In the industry
25 y
since Sep 29, 2000 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
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
- M••••• S•••••• wirehouse currentsince Sep 23, 2013 · Cincinnati, Oh
- R•••••• J•••• • A••••••••• I••• national BDMay 6, 2009 to Sep 25, 2013 · Cincinnati, Oh
- U•• F•••••••• S••••••• I••• wirehouseFeb 9, 2007 to May 13, 2009 · Cincinnati, Oh
- K•••••• C•••••• M•••••• I••• unclassifiedMar 2, 2004 to Feb 9, 2007 · Cincinnati, Oh
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to M••••• S••••••left Sep 25, 2013, registered Sep 23, 2013 (-2 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left May 13, 2009, registered May 6, 2009 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- K•••••• C•••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Feb 9, 2007, registered Feb 9, 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address