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RIA Intelligence
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Registered advisor
R•••• R••••
Feed of 09/14/2026
Also filed as R•••• R••••
At current firm
1 y
since Mar 31, 2025
In the industry
21 y
since Sep 13, 2005 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
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•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Rancho Cucamonga, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDJun 20, 2012 to Jul 13, 2018 · Brea, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedAug 8, 2008 to Jun 5, 2012 · Fullerton, Ca
- W••• I••••••••• I••• unclassifiedMar 23, 2007 to Aug 6, 2008 · San Clemente, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerFeb 2, 2007 to Mar 16, 2007 · Huntington Beach, Ca
- M••••• S•••••• D• I••• unclassifiedOct 13, 2005 to Jun 8, 2006 · Santa Ana, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- U••• B•••••• A•••••••• L•• to S•••••••• A••••••• L••left Jun 5, 2012, registered Jun 20, 2012 (15 days) · Other
- W••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Aug 6, 2008, registered Aug 8, 2008 (2 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to W••• I••••••••• I•••left Mar 16, 2007, registered Mar 23, 2007 (7 days) · Other
- M••••• S•••••• D• I••• to B••••••• I••••••••• S•••••••• I••• •••••left Jun 8, 2006, registered Feb 2, 2007 (239 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address