DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
R••• A••••• G••••
Feed of 09/14/2026
Also filed as R••• A••••• G••••
At current firm
4 y
since Apr 7, 2022
In the industry
19 y
since Feb 15, 2007 (earliest exam, job or registration)
Prior registered firms
4
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- V••••••• A•••••••• I••• BD affiliated currentsince Apr 7, 2022 · Charlotte, Nc
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 29, 2009 to Dec 31, 2020 · Cary, Nc
- T• A••••••••• I••• formerJan 29, 2009 to Jan 11, 2021 · Cary, Nc
- P•• W••••• M••••••••• BD affiliatedJun 2, 2008 to Jul 30, 2008 · Cranberry Township, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 16, 2007 to May 8, 2008 · Pittsburgh, Pa
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to V••••••• A•••••••• I•••left Jan 11, 2021, registered Apr 7, 2022 (451 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Jan 29, 2009 (-4354 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 30, 2008, registered Jan 29, 2009 (183 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left May 8, 2008, registered Jun 2, 2008 (25 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address