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Registered advisor
A•••• M•••••• N•••••
Feed of 09/14/2026
At current firm
0 y
since Feb 13, 2026
In the industry
17 y
since Jul 2, 2009 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · Colorado Springs, Co
- U••• B•••••• I••••••••• I••• formerJul 6, 2023 to Feb 13, 2026 · Fountain, Co
- K•• I••••••••• S••••••• L•• BD affiliatedMay 6, 2013 to Jul 6, 2023 · Denver, Co
- M••••• S•••••• wirehouseJun 3, 2010 to Sep 12, 2011 · Colorado Springs, Co
- L•••••• I••••••••• independent RIAAug 5, 2009 to Mar 26, 2010 · Colorado Springs, Co
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- K•• I••••••••• S••••••• L•• to U••• B•••••• I••••••••• I•••left Jul 6, 2023, registered Jul 6, 2023 (0 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to K•• I••••••••• S••••••• L••left Sep 12, 2011, registered May 6, 2013 (602 days) · Other
- L•••••• I••••••••• to M••••• S••••••left Mar 26, 2010, registered Jun 3, 2010 (69 days) · Other
Signals
- A•••• M•••••• N••••• left K•• I••••••••• S••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2023-07-06)Jul 6, 2023 · 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address