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RIA Intelligence

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Registered advisor

M•••••• L••••• P••••••

C••••••••• F•••••••• N••••••national BDWashington, Ia dual registrantIAPD 4611863

Feed of 09/14/2026

At current firm

2 y

since Jul 8, 2024

In the industry

23 y

since Dec 23, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••••• F•••••••• N•••••• national BD current
since Jul 8, 2024 · Washington, Ia
L•• F•••••••• L•• BD affiliated
Nov 29, 2017 to Jul 17, 2024 · Washington, Ia
I••••••••• C•••••• O• A••••••• I••• former
Feb 27, 2006 to Nov 29, 2017 · Coralville, Ia
E•••• O•• I••••••••• L•• unclassified
Jun 17, 2003 to Mar 24, 2006 · Williamsburg, Ia

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to C••••••••• F•••••••• N••••••
left Jul 17, 2024, registered Jul 8, 2024 (-9 days) · Affiliated broker-dealer or bank to another
I••••••••• C•••••• O• A••••••• I••• to L•• F•••••••• L••
left Nov 29, 2017, registered Nov 29, 2017 (0 days) · corporate re-registration, not a move
E•••• O•• I••••••••• L•• to I••••••••• C•••••• O• A••••••• I•••
left Mar 24, 2006, registered Feb 27, 2006 (-25 days) · Other

Signals

M•••••• L••••• P•••••• left L•• F•••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2024-07-08)
Jul 17, 2024 · Advisor changed firm · fact

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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address