P•••••• N••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseNew York, Ny dual registrantIAPD 5466845

Feed of 09/14/2026

At current firm

13 y

since Aug 16, 2013

In the industry

18 y

since Jan 22, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since Aug 16, 2013 · New York, Ny
U••• F•••••••• P••••••• S••••••• former
Dec 11, 2008 to Jan 19, 2012 · Phoenix, Az
U••• I••••••••• S••••••• C•••••• no RAUM
Feb 20, 2008 to Dec 31, 2008 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

U••• F•••••••• P••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 19, 2012, registered Aug 16, 2013 (575 days) · Other
U••• I••••••••• S••••••• C•••••• to U••• F•••••••• P••••••• S•••••••
left Dec 31, 2008, registered Dec 11, 2008 (-20 days) · corporate re-registration, not a move

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: Wirehousederived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address