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RIA Intelligence
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Registered advisor
T••• L••• R•••
Feed of 09/14/2026
At current firm
7 y
since Jan 17, 2019
In the industry
18 y
since Oct 12, 2007 (earliest exam, job or registration)
Prior registered firms
5
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jan 17, 2019 · Fort Worth, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 1, 2014 to Jan 22, 2019 · Fort Worth, Tx
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Aug 1, 2014 · Fort Worth, Tx
- C••••• I••••••••• S••••••• L•• formerSep 21, 2010 to Jan 21, 2014 · Fort Worth, Tx
- C••• B•••••••• S•••••••• I••• formerApr 30, 2008 to Sep 22, 2010 · Fort Worth, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMOct 23, 2007 to Apr 21, 2008 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Jan 22, 2019, registered Jan 17, 2019 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C••••• I••••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 1, 2014, registered Aug 1, 2014 (0 days) · Other
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- C••• B•••••••• S•••••••• I••• to C••••• I••••••••• S••••••• L••left Sep 22, 2010, registered Sep 21, 2010 (-1 days) · Other
- U••• I••••••••• S••••••• C•••••• to C••• B•••••••• S•••••••• I•••left Apr 21, 2008, registered Apr 30, 2008 (9 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address