DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
R••• A••••••• S••••
Feed of 09/14/2026
Also filed as R••• A••••••• S••••
At current firm
8 y
since Jun 8, 2018
In the industry
24 y
since Oct 31, 2001 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
7
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
- C•••••• C•••••• L•• state registered currentsince Jun 8, 2018 · Washington, Dc
- F•••• A•••• M••••••••• L•• unclassifiedJan 7, 2015 to Dec 31, 2017 · Stevensville, Md
- T• A••••••••• I••• formerApr 3, 2013 to Dec 22, 2014 · Potomac, Md
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 3, 2013 to Dec 22, 2014 · Bethesda, Md
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 27, 2012 to Apr 11, 2013 · Washington, Dc
- E•••••• C•••••• M••••••••• L•• formerNov 13, 2009 to Jul 27, 2012 · Arlington, Va
- M••••• S•••••• • C•• L•• unclassifiedSep 28, 2005 to Jun 19, 2009 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- F•••• A•••• M••••••••• L•• to C•••••• C•••••• L••left Dec 31, 2017, registered Jun 8, 2018 (159 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to F•••• A•••• M••••••••• L••left Dec 22, 2014, registered Jan 7, 2015 (16 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 22, 2014, registered Apr 3, 2013 (-628 days) · channel change inside one enterprise, not a move
- C•••••••• G••••• M•••••• I••• to T• A••••••••• I•••left Apr 11, 2013, registered Apr 3, 2013 (-8 days) · Other
- E•••••• C•••••• M••••••••• L•• to C•••••••• G••••• M•••••• I•••left Jul 27, 2012, registered Jul 27, 2012 (0 days) · Other
- M••••• S•••••• • C•• L•• to E•••••• C•••••• M••••••••• L••left Jun 19, 2009, registered Nov 13, 2009 (147 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
- STATE REGISTEREDderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address