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RIA Intelligence
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Registered advisor
R•••• W•••• S•••••••
Feed of 09/14/2026
At current firm
0 y
since Apr 10, 2026
In the industry
20 y
since May 20, 2006 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Apr 10, 2026 · Madison, Wi
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 29, 2023 to Apr 14, 2026 · Madison, Wi
- C••••• A•••••• N••••••• L•• formerMar 26, 2021 to Jun 29, 2023 · Madison, Wi
- W•••• F•••• A••••••• wirehouseMay 25, 2006 to Apr 5, 2021 · Madison, Wi
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 14, 2026, registered Apr 10, 2026 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to C••••• A•••••• N••••••• L••left Apr 5, 2021, registered Mar 26, 2021 (-10 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Signals
- R•••• W•••• S••••••• left C••••• I••••••••• A••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2026-04-10)Apr 14, 2026 · a•••••• firm change · fact
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address