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RIA Intelligence
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Registered advisor
S••••• N••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as S••••• N••••••
At current firm
4 y
since Jan 28, 2022
In the industry
21 y
since Jan 31, 2005 (earliest exam, job or registration)
Prior registered firms
6
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
- W••••••••• A••••••• P••••••• L•• BD affiliated currentsince Jan 28, 2022 · West Chester, Pa
- W•••• F•••• A••••••• wirehouseJul 8, 2016 to Nov 1, 2021 · Austin, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 6, 2015 to Jul 11, 2016 · Austin, Tx
- C•••••• S••••• • C••• I••• national BDJan 8, 2010 to Apr 17, 2015 · Austin, Tx
- C•••• I••••••••• S••••••• C•••• formerDec 22, 2008 to Nov 3, 2009 · Austin, Tx
- M•• F•••••••• S•••••••• I••• formerAug 3, 2007 to Oct 16, 2008 · Austin, Tx
- L••• M•••• W••• W•••••• I••••••••• unclassifiedFeb 1, 2005 to Jan 30, 2006 · Baltimore, Md
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to W••••••••• A••••••• P••••••• L••left Nov 1, 2021, registered Jan 28, 2022 (88 days) · Wirehouse to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jul 11, 2016, registered Jul 8, 2016 (-3 days) · Wirehouse to wirehouse · moved with a team
- C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 17, 2015, registered May 6, 2015 (19 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- C•••• I••••••••• S••••••• C•••• to C•••••• S••••• • C••• I•••left Nov 3, 2009, registered Jan 8, 2010 (66 days) · Other
- M•• F•••••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••left Oct 16, 2008, registered Dec 22, 2008 (67 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to M•• F•••••••• S•••••••• I•••left Jan 30, 2006, registered Aug 3, 2007 (550 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address