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RIA Intelligence
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Registered advisor
A••••• W• S••••
Feed of 09/14/2026
Also filed as A••••• S••••
At current firm
1 y
since Jul 10, 2025
In the industry
22 y
since Jul 10, 2004 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- L•• F•••••••• L•• BD affiliated currentsince Jul 10, 2025 · Lafayette, Ny
- C•••••• G•••• • C• I•• formerAug 27, 2009 to Jul 10, 2025 · Syracuse, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 19, 2006 to Apr 30, 2008 · Syracuse, Ny
Moves
a registration end followed by a registration begin elsewhere
- C•••••• G•••• • C• I•• to L•• F•••••••• L••left Jul 10, 2025, registered Jul 10, 2025 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• G•••• • C• I••left Apr 30, 2008, registered Aug 27, 2009 (484 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address