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RIA Intelligence
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Registered advisor
J•••••• P•••• F•••••• A••••••
Feed of 09/14/2026
Also filed as J•••••• P•••• F••••••
At current firm
11 y
since Sep 22, 2014
In the industry
19 y
since Mar 5, 2007 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
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
- L••••• W•••••• L•• independent RIA currentsince Sep 22, 2014 · Norwalk, Ct
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 7, 2014 · New York, Ny
- M••••• S•••••• • C•• L•• unclassifiedMar 7, 2007 to Jun 1, 2009 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to L••••• W•••••• L••left Jul 7, 2014, registered Sep 22, 2014 (77 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address