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E•••• L•• E••••••

Registered advisorat R•• C•••••• M••••••• L••Dual registrant· Waynesville, Nc IAPD 4598858
At current firm
13 y
since Jan 29, 2013
In the industry
23 y
Prior registered firms
4
Signals
0
As of · the IAPD feed
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Recruiter brief
facts first, then what DFX measured about them; never a statement of intent
Recruiting value
  • Practice attractivenesssome
    personal book $25M to $250M (estimated); 23.7 years in the industry
  • Team depthnone
    0 of the 0 people who once moved firms with this advisor are registered here now (a team seen in registrations; web team pages are not used until they pass review).
  • Entrepreneurial profilenone
    Details are shown to subscribers.
  • Real estate activitynone
    Details are shown to subscribers.
  • Contactabilitypartial
    provider email, not verified at the firm's domain
Movement evidence
  • Movement signalnone
    0 of 1 dated or circumstantial reading historically went with moving. The forward-tested move model places this advisor in its Baseline band.
  • Recent change activitysome
    Details are shown to subscribers.
  • Independence preparationnone
    No concrete evidence of preparation for independence.
  • Historical mobilitysome
    2 prior firms, median stay 2.3 years.
Dated changes and circumstances, and what they have meant historically
  • weak move associationA known colleague moved to an independent RIA in the prior 180 days
    At national broker-dealer RIAs, 4.7% with this moved within a year, against 3.9% without it (1.23x, 2023 to 2025 cohorts).
Career
  • 23.7 years in the industry
  • 13.6 years at the current firm
  • 2 prior registered firms; median stay 2.3 years
  • Path: national broker-dealer RIA to wirehouse to national broker-dealer RIA
  • Personal book $25M to $250M (estimated)
Source: IAPD adviser registrations only (broker-only history is not in this feed)
Licensing and credentials
  • Registered in 3 states (firm median 2); added NC in the last 180 days
  • Exams: Series 66
  • Registered as a broker as well as an adviser
Source: IAPD individual feed; broker exams and states appear once the per-person record is read
Around this advisor
  • 3 known colleagues changed firms in the last year
  • 1 went to an independent RIA in the last 180 days
Regulatory record

Shown to subscribers, with the official record linked.

Registration history
IAPD current and previous registrations
  • M••••• S•••••• wirehouse
    Jun 1, 2009 to Feb 15, 2013 · Palm Beach, Fl
  • M••••• S•••••• • C•• L•• unclassified
    Apr 2, 2007 to Jun 1, 2009 · Palm Beach, Fl
  • M••••• S•••••• D• I••• unclassified
    Jun 20, 2005 to Apr 2, 2007 · Wst. Plm Bch, Fl
  • A• G• E•••••• • S•••• I••• unclassified
    Jan 23, 2003 to Jun 22, 2005 · West Palm Beach, Fl
Moves
a registration end followed by a registration begin elsewhere
  • M••••• S•••••• to R•• C•••••• M••••••• L••
    left Feb 15, 2013, registered Jan 29, 2013 (-17 days) · Wirehouse to affiliated broker-dealer or bank
  • M••••• S•••••• • C•• L•• to M••••• S••••••
    left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
  • M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
    left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
  • A• G• E•••••• • S•••• I••• to M••••• S•••••• D• I•••
    left Jun 22, 2005, registered Jun 20, 2005 (-2 days) · Other
Signals
No dated event on this person.
Transition signals

Mobility scoring is not published yet.

Provenance
Source
IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class
National broker-dealer RIAderived
Years in industry
23derivedfrom the earliest dated exam, employment or registration
Not published
disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote