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RIA Intelligence
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Registered advisor
R•••• R••••••• W••••
Feed of 09/14/2026
Also filed as R•••• W••••
At current firm
5 y
since Jun 2, 2021
In the industry
22 y
since Jul 1, 2004 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- T•• A•••••••• G•••• BD affiliated currentsince Jun 2, 2021 · Gilbert, Az
- S•••••••• F••••••••• I••• formerOct 28, 2019 to Sep 7, 2021 · Scottsdale, Az
- J• W• C••• A•••••••• I••• BD affiliatedFeb 11, 2014 to Nov 21, 2019 · Gilbert, Az
- H•••••• T••••••• • K•••• L•• independent RIAOct 24, 2011 to Jan 30, 2014 · Gilbert, Az
- M•• F•••••••• S•••••••• I••• formerMar 13, 2009 to Oct 14, 2011 · Tempe, Az
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• F••••••••• I••• to T•• A•••••••• G••••left Sep 7, 2021, registered Jun 2, 2021 (-97 days) · Affiliated broker-dealer or bank to independent RIA
- J• W• C••• A•••••••• I••• to S•••••••• F••••••••• I•••left Nov 21, 2019, registered Oct 28, 2019 (-24 days) · Affiliated broker-dealer or bank to another
- H•••••• T••••••• • K•••• L•• to J• W• C••• A•••••••• I•••left Jan 30, 2014, registered Feb 11, 2014 (12 days) · Other
- M•• F•••••••• S•••••••• I••• to H•••••• T••••••• • K•••• L••left Oct 14, 2011, registered Oct 24, 2011 (10 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address