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RIA Intelligence

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Registered advisor

R••• R•••• W•••••••

W•••• F•••• A•••••••wirehouseDeerfield, Il dual registrantIAPD 5038399

Feed of 09/14/2026

Also filed as R••• R•••• W•••••••

At current firm

1 y

since Mar 17, 2025

In the industry

15 y

since Apr 28, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Mar 17, 2025 · Deerfield, Il
C•••••• S••••• • C••• I••• national BD
Jan 26, 2022 to Mar 20, 2025 · Schaumburg, Il
T• A••••••••• I••• former
Oct 27, 2016 to Oct 14, 2022 · Oak Brook, Il
T• A••••••••• I••••••••• M••••••••• L•• former
Oct 27, 2016 to Sep 7, 2023 · Oak Brook, Il
W•••• F•••• A••••••• wirehouse
Feb 24, 2014 to Oct 13, 2016 · Scottsdale, Az
E••••• J•••• national BD
Nov 6, 2012 to Feb 3, 2014 · Scottsdale, Az
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 2, 2011 to Oct 22, 2012 · Scottsdale, Az

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to W•••• F•••• A•••••••
left Mar 20, 2025, registered Mar 17, 2025 (-3 days) · Affiliated broker-dealer or bank to wirehouse
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered Oct 27, 2016 (-2178 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to T• A••••••••• I•••
left Oct 13, 2016, registered Oct 27, 2016 (14 days) · Other
E••••• J•••• to W•••• F•••• A•••••••
left Feb 3, 2014, registered Feb 24, 2014 (21 days) · Affiliated broker-dealer or bank to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••
left Oct 22, 2012, registered Nov 6, 2012 (15 days) · Wirehouse to affiliated broker-dealer or bank

Signals

R••• R•••• W••••••• left C•••••• S••••• • C••• I••• for W•••• F•••• A••••••• (registered 2025-03-17)
Mar 20, 2025 · 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: Wirehousederived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address