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RIA Intelligence
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Registered advisor
W•••••• L••••••• L••••
Feed of 09/14/2026
Also filed as W•••••• L••••••• L••••
At current firm
1 y
since Aug 22, 2025
In the industry
20 y
since May 25, 2006 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Aug 22, 2025 · Radnor, Pa
- N••••••••• M••••• I••••••••• S••••••••• no RAUMApr 22, 2016 to Aug 1, 2025 · Kng Of Prussia, Pa
- M••••• S•••••• wirehouseApr 23, 2012 to Dec 10, 2012 · West Conshohocken, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 25, 2006 to Apr 2, 2008 · Pennington, Nj
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to M•• I•••••••• S•••••••• L••left Aug 1, 2025, registered Aug 22, 2025 (21 days) · Other
- M••••• S•••••• to N••••••••• M••••• I••••••••• S•••••••••left Dec 10, 2012, registered Apr 22, 2016 (1229 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Apr 2, 2008, registered Apr 23, 2012 (1482 days) · Wirehouse to wirehouse
Signals
- W•••••• L••••••• L•••• left N••••••••• M••••• I••••••••• S••••••••• for M•• I•••••••• S•••••••• L•• (registered 2025-08-22)Aug 1, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address