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Feed of 09/14/2026
Also filed as M•••• M. R••••••
At current firm
1 y
since Mar 31, 2025
In the industry
20 y
since Sep 1, 2006 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Reno, Nv
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 23, 2024 to Mar 31, 2025 · Reno, Nv
- M••••• S•••••• wirehouseJan 12, 2023 to Aug 11, 2023 · Sandy, Ut
- E•••••• C•••••• M••••••••• L•• formerMay 29, 2018 to Aug 11, 2023 · Sandy, Ut
- S•••••••• I••••••••• M••••••••• formerOct 5, 2016 to Mar 8, 2018 · Saint Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 15, 2011 to Nov 10, 2014 · Draper, Ut
- T• A••••••••• I••• formerSep 15, 2011 to Nov 10, 2014 · Draper, Ut
- E•••••• C•••••• M••••••••• L•• formerAug 9, 2010 to Sep 8, 2011 · Arlington, Va
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 11, 2023, registered Jan 23, 2024 (165 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Aug 11, 2023, registered Jan 12, 2023 (-211 days) · channel change inside one enterprise, not a move · moved with a team
- S•••••••• I••••••••• M••••••••• to E•••••• C•••••• M••••••••• L••left Mar 8, 2018, registered May 29, 2018 (82 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Nov 10, 2014, registered Sep 15, 2011 (-1152 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to S•••••••• I••••••••• M•••••••••left Nov 10, 2014, registered Oct 5, 2016 (695 days) · Other
- E•••••• C•••••• M••••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Sep 8, 2011, registered Sep 15, 2011 (7 days) · Other
Signals
- M•••• R•••••• left M••••• S•••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-01-23)Aug 11, 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
- 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