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RIA Intelligence
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Registered advisor
S•••• M•••••• M•••••
Feed of 09/15/2026
At current firm
0 y
since Jun 26, 2026
In the industry
23 y
since Jan 17, 2003 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Jun 26, 2026 · Morristown, Nj
- M•••••• A•••••• N•••••• BD affiliatedNov 20, 2017 to Jun 26, 2026 · Spokane, Wa
- V••• F•••••••• A•••••••• I••• BD affiliatedOct 7, 2009 to Nov 21, 2017 · Midvale, Ut
- V•••• F•••••••• A•••••••• I••• BD affiliatedJul 17, 2003 to Oct 13, 2009 · Liberty Lake, Wa
Moves
a registration end followed by a registration begin elsewhere
- M•••••• A•••••• N•••••• to P•••••• A•••••• G••••• L••left Jun 26, 2026, registered Jun 26, 2026 (0 days) · corporate re-registration, not a move
- V••• F•••••••• A•••••••• I••• to M•••••• A•••••• N••••••left Nov 21, 2017, registered Nov 20, 2017 (-1 days) · Other
- V•••• F•••••••• A•••••••• I••• to V••• F•••••••• A•••••••• I•••left Oct 13, 2009, registered Oct 7, 2009 (-6 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