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RIA Intelligence
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Registered advisor
D••••• P••• M••••••
Feed of 09/15/2026
At current firm
15 y
since Aug 4, 2011
In the industry
25 y
since Jun 12, 2001 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
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••••• S•••••• wirehouse currentsince Aug 4, 2011 · Rancho Sante Fe, Ca
- W•••• F•••• A••••••• wirehouseMar 8, 2010 to Aug 9, 2011 · San Diego, Ca
- W•••• F•••• I••••••••• L•• unclassifiedNov 30, 2004 to Mar 9, 2010 · San Diego, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 11, 2003 to Nov 22, 2004 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 21, 2001 to Aug 25, 2003 · Chagrin Falls, Oh
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M••••• S••••••left Aug 9, 2011, registered Aug 4, 2011 (-5 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Mar 9, 2010, registered Mar 8, 2010 (-1 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• I••••••••• L••left Nov 22, 2004, registered Nov 30, 2004 (8 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 25, 2003, registered Aug 11, 2003 (-14 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address