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RIA Intelligence
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Registered advisor
C••••••••• M•••••• T••••
Feed of 09/15/2026
At current firm
3 y
since Dec 2, 2022
In the industry
22 y
since Aug 12, 2004 (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
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 Dec 2, 2022 · Mobile, Al
- O•••• I••••••••• I••• BD affiliatedAug 2, 2021 to Nov 30, 2022 · Meriden, Ct
- W•••• F•••• A••••••• wirehouseApr 7, 2005 to Jun 7, 2021 · Biloxi, Ms
- A••••••••• F•••••••• S•••••••• L•• national BDAug 13, 2004 to Feb 15, 2005 · Vienna, Va
Moves
a registration end followed by a registration begin elsewhere
- O•••• I••••••••• I••• to L•• F•••••••• L••left Nov 30, 2022, registered Dec 2, 2022 (2 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- W•••• F•••• A••••••• to O•••• I••••••••• I•••left Jun 7, 2021, registered Aug 2, 2021 (56 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Feb 15, 2005, registered Apr 7, 2005 (51 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- C••••••••• M•••••• T•••• left O•••• I••••••••• I••• for L•• F•••••••• L•• (registered 2022-12-02)Nov 30, 2022 · 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