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Registered advisor
C••••••••• E•••• M•••••••
Feed of 09/14/2026
Also filed as C••••••••• E•••• M•••••••
At current firm
1 y
since Mar 31, 2025
In the industry
19 y
since Mar 19, 2007 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Austin, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 29, 2022 to Mar 31, 2025 · Austin, Tx
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 18, 2016 to May 31, 2022 · Austin, Tx
- N•• A•••••• S•••••••• L•• formerApr 15, 2011 to Sep 22, 2016 · Austin, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to May 5, 2010 · Saint Petersburg, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedOct 2, 2007 to Jan 2, 2009 · Dallas, Tx
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
- K••••• A••••••• S•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left May 31, 2022, registered Jul 29, 2022 (59 days) · Affiliated broker-dealer or bank to another
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 18, 2016 (-157 days) · corporate re-registration, not a move
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to N•• A•••••• S•••••••• L••left May 5, 2010, registered Apr 15, 2011 (345 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
Signals
- C••••••••• E•••• M••••••• left K••••• A••••••• S•••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-07-29)May 31, 2022 · a•••••• firm change · 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address