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RIA Intelligence
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Feed of 09/15/2026
At current firm
7 y
since Jun 18, 2019
In the industry
23 y
since Mar 24, 2003 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
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
- S•• BD affiliated currentsince Jun 18, 2019 · Bridgeport, Wv
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJun 2, 2014 to Jun 25, 2019 · Clarksburg, Wv
- S•• BD affiliatedOct 6, 2009 to May 23, 2014 · Clarksburg, Wv
- F•• S••••••••• C••••••••• formerJan 14, 2007 to Jun 16, 2009 · Charlottesville, Va
- A••••••••• F•••••••• S•••••••• L•• national BDMar 24, 2003 to May 27, 2003 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• I••••••••• R••••••• A•••••••• I••• to S••left Jun 25, 2019, registered Jun 18, 2019 (-7 days) · Affiliated broker-dealer or bank to another
- S•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 23, 2014, registered Jun 2, 2014 (10 days) · Other
- F•• S••••••••• C••••••••• to S••left Jun 16, 2009, registered Oct 6, 2009 (112 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to F•• S••••••••• C•••••••••left May 27, 2003, registered Jan 14, 2007 (1328 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address