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RIA Intelligence
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Feed of 09/14/2026
At current firm
2 y
since Jan 19, 2024
In the industry
25 y
since Jul 11, 2001 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Jericho, Ny
- W••••••• F•••••••• S•••••••• I••• formerJul 11, 2018 to Jan 19, 2024 · Jericho, Ny
- C•••••• O•• A•••••••• L•• formerJun 2, 2015 to Jul 11, 2018 · Greenlawn, Ny
- J••• M••••• S••••••••• L•• wirehouseNov 10, 2014 to Feb 27, 2015 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Dec 31, 2013 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerAug 26, 2011 to Oct 1, 2012 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerJan 20, 2006 to May 17, 2011 · Maspeth, Ny
- M••••• S•••••• D• I••• unclassifiedSep 19, 2005 to Nov 4, 2005 · Jericho, Ny
Moves
a registration end followed by a registration begin elsewhere
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- C•••••• O•• A•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Jul 11, 2018, registered Jul 11, 2018 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to C•••••• O•• A•••••••• L••left Feb 27, 2015, registered Jun 2, 2015 (95 days) · Other · moved with a team
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to C•••• I••••••••• S••••••• C••••left Nov 4, 2005, registered Jan 20, 2006 (77 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address