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RIA Intelligence
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Registered advisor
S•••• B••••
Feed of 09/14/2026
At current firm
2 y
since Oct 19, 2023
In the industry
24 y
since Jun 6, 2002 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
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
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Oct 19, 2023 · Spokane, Wa
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Oct 18, 2023 · Seattle, Wa
- C••••• I••••••••• S••••••• L•• formerJul 21, 2011 to Jan 21, 2014 · Olympia, Wa
- U••• B•••••• I••••••••• I••• formerMar 22, 2011 to Jul 20, 2011 · Bend, Or
- F•••••••• L•• formerAug 20, 2008 to Mar 18, 2011 · Santa Rosa, Ca
- U••• B•••••• I••••••••• I••• formerMar 13, 2006 to Feb 20, 2007 · Hermiston, Or
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 18, 2023, registered Oct 19, 2023 (1 days) · corporate re-registration, not a move
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- U••• B•••••• I••••••••• I••• to C••••• I••••••••• S••••••• L••left Jul 20, 2011, registered Jul 21, 2011 (1 days) · Other
- F•••••••• L•• to U••• B•••••• I••••••••• I•••left Mar 18, 2011, registered Mar 22, 2011 (4 days) · Other
- U••• B•••••• I••••••••• I••• to F•••••••• L••left Feb 20, 2007, registered Aug 20, 2008 (547 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address