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RIA Intelligence
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Registered advisor
B•••• L•• L••••
Feed of 09/14/2026
At current firm
10 y
since Feb 25, 2016
In the industry
22 y
since Apr 19, 2004 (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, S66
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•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Feb 25, 2016 · Yardley, Pa
- B•••••••• I••••••••• M••••••••• L•• asset managerSep 29, 2006 to Nov 5, 2015 · Plainsboro, Nj
- M•••••• L•••• I••••••••• M••••••• L• unclassifiedMay 11, 2006 to Sep 29, 2006 · Plainsboro, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 20, 2004 to May 26, 2006 · Pennington, Nj
Moves
a registration end followed by a registration begin elsewhere
- B•••••••• I••••••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 5, 2015, registered Feb 25, 2016 (112 days) · Other
- M•••••• L•••• I••••••••• M••••••• L• to B•••••••• I••••••••• M••••••••• L••left Sep 29, 2006, registered Sep 29, 2006 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•••••• L•••• I••••••••• M••••••• L•left May 26, 2006, registered May 11, 2006 (-15 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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address