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RIA Intelligence
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Registered advisor
S•••••• B••••• S••••
Feed of 09/14/2026
At current firm
7 y
since Oct 4, 2018
In the industry
35 y
since May 29, 1991 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
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
- D••••••• A•••• M••••••••• L•• other currentsince Oct 4, 2018 · Dallas, Tx
- J••• M••••• S••••••••• L•• wirehouseSep 10, 2015 to Jul 24, 2018 · Dallas, Tx
- C•••••• A•••• M••••••••• L• unclassifiedDec 7, 2001 to Mar 27, 2009 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to D••••••• A•••• M••••••••• L••left Jul 24, 2018, registered Oct 4, 2018 (72 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- C•••••• A•••• M••••••••• L• to J••• M••••• S••••••••• L••left Mar 27, 2009, registered Sep 10, 2015 (2358 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
- Other adviserderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address