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RIA Intelligence
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Registered advisor
S••••• N••••••• W••••
Feed of 09/14/2026
Also filed as S••••• N••••••• W••••
At current firm
19 y
since Nov 8, 2006
In the industry
24 y
since Mar 19, 2002 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
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
- E••••• J•••• national BD currentsince Nov 8, 2006 · Walla Walla, Wa
- C••••• I••••••••• S••••••• L•• formerSep 20, 2002 to Apr 22, 2004 · Walla Walla, Wa
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• S••••••• L•• to E••••• J••••left Apr 22, 2004, registered Nov 8, 2006 (930 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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address