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RIA Intelligence
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Registered advisor
M•••••• A•••• F•••••••
Feed of 09/15/2026
Also filed as M•••••• F•••••••
At current firm
3 y
since Oct 19, 2022
In the industry
20 y
since Jul 10, 2006 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 19, 2022 · Pleasant Hill, Ca
- C••••••• M••••••••• I••••••••• A•••••••• L•• asset managerJul 22, 2009 to Jul 26, 2010 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- C••••••• M••••••••• I••••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jul 26, 2010, registered Oct 19, 2022 (4468 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address