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RIA Intelligence
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Registered advisor
R•••••• A••••• G•••••
Feed of 09/14/2026
At current firm
1 y
since Jun 27, 2025
In the industry
22 y
since Jan 23, 2004 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jun 27, 2025 · Rock Hill, Sc
- W•••• F•••• A••••••• wirehouseMar 1, 2012 to Jul 2, 2025 · Charlotte, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 5, 2012 · Charlotte, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Jun 1, 2009 · Charlotte, Nc
- L••• M•••• W••• W•••••• I••••••••• unclassifiedJan 26, 2004 to Feb 21, 2006 · Charlotte-South Park, Nc
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jul 2, 2025, registered Jun 27, 2025 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left Mar 5, 2012, registered Mar 1, 2012 (-4 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
Signals
- R•••••• A••••• G••••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2025-06-27)Jul 2, 2025 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address