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RIA Intelligence
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Registered advisor
G••• R•••••• C•••••
Feed of 09/14/2026
At current firm
12 y
since Jul 28, 2014
In the industry
20 y
since Apr 25, 2006 (earliest exam, job or registration)
Prior registered firms
5
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
- C•••••• S••••• • C••• I••• national BD currentsince Jul 28, 2014 · Austin, Tx
- U••• F•••••••• P••••••• S••••••• formerApr 19, 2013 to Jun 30, 2014 · San Antonio, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMMay 16, 2007 to Apr 22, 2013 · San Antonio, Tx
- N•• A•••••• S•••••••• L•• formerMar 27, 2007 to Apr 24, 2007 · Austin, Tx
- C•••• I••••••••• S••••••• C•••• formerSep 5, 2006 to Mar 7, 2007 · Austin, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDMay 17, 2006 to Jul 13, 2006 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
- U••• F•••••••• P••••••• S••••••• to C•••••• S••••• • C••• I•••left Jun 30, 2014, registered Jul 28, 2014 (28 days) · Other
- U••• I••••••••• S••••••• C•••••• to U••• F•••••••• P••••••• S•••••••left Apr 22, 2013, registered Apr 19, 2013 (-3 days) · corporate re-registration, not a move
- N•• A•••••• S•••••••• L•• to U••• I••••••••• S••••••• C••••••left Apr 24, 2007, registered May 16, 2007 (22 days) · Other
- C•••• I••••••••• S••••••• C•••• to N•• A•••••• S•••••••• L••left Mar 7, 2007, registered Mar 27, 2007 (20 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C•••• I••••••••• S••••••• C••••left Jul 13, 2006, registered Sep 5, 2006 (54 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address