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RIA Intelligence
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Registered advisor
S•••• M••••••• L••
Feed of 09/14/2026
Also filed as S•••• Brosseau
At current firm
5 y
since Mar 4, 2021
In the industry
20 y
since Jun 27, 2006 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
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
- R••••• W• B•••• • C•• I••••••••• mixed wealth currentsince Mar 4, 2021 · Scottsdale, Az
- W•••• F•••• A••••••• wirehouseSep 11, 2014 to Mar 15, 2021 · Denver, Co
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jul 22, 2013 · Highlands Ranch, Co
- W•••• F•••• I••••••••• L•• unclassifiedOct 20, 2008 to Jan 3, 2011 · Lone Tree, Co
- E•••••••• A•••••••• L•• national BDJun 30, 2006 to Nov 2, 2007 · Lakewood, Co
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R••••• W• B•••• • C•• I•••••••••left Mar 15, 2021, registered Mar 4, 2021 (-11 days) · Wirehouse to independent RIA · moved with a team
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to W•••• F•••• I••••••••• L••left Nov 2, 2007, registered Oct 20, 2008 (353 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address