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RIA Intelligence
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Registered advisor
R••••• F••••••••• M••••
Feed of 09/14/2026
Also filed as R••••• F M••••
At current firm
1 y
since Apr 29, 2025
In the industry
21 y
since Dec 22, 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
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Apr 29, 2025 · Charlotte, Nc
- T••••• A••••••• S•••••••• I••• BD affiliatedJul 19, 2022 to Oct 19, 2023 · Concord, Nc
- W•••• F•••• A••••••• wirehouseApr 18, 2018 to Jul 13, 2022 · Charlotte, Nc
- A••••• A•• P••••••• S••••••• BD affiliatedSep 10, 2007 to Sep 21, 2017 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- T••••• A••••••• S•••••••• I••• to A••••• A•• P••••••• S•••••••left Oct 19, 2023, registered Apr 29, 2025 (558 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left Jul 13, 2022, registered Jul 19, 2022 (6 days) · Wirehouse to affiliated broker-dealer or bank
- A••••• A•• P••••••• S••••••• to W•••• F•••• A•••••••left Sep 21, 2017, registered Apr 18, 2018 (209 days) · Other
Signals
- R••••• F••••••••• M•••• left T••••• A••••••• S•••••••• I••• for A••••• A•• P••••••• S••••••• (registered 2025-04-29)Oct 19, 2023 · Advisor changed firm · fact
- R••••• F••••••••• M•••• left W•••• F•••• A••••••• for T••••• A••••••• S•••••••• I••• (registered 2022-07-19)Jul 13, 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address