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RIA Intelligence
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Registered advisor
M•••••• M••••••• S•••••
Feed of 09/14/2026
Also filed as M•••••• M S•••••
At current firm
7 y
since Nov 20, 2018
In the industry
18 y
since Feb 12, 2008 (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, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S••••• C•••••• A•••••••• I••• independent RIA currentsince Nov 20, 2018 · Seattle, Wa
- J••• M••••• S••••••••• L•• wirehouseAug 12, 2015 to Oct 18, 2018 · Seattle, Wa
- S••••• C•••••• A•••••••• I••• independent RIAMar 31, 2015 to Sep 1, 2015 · Seattle, Wa
- C••• F•••••••• S•••••••• L••• formerMay 19, 2014 to Oct 17, 2014 · Seattle, Wa
- S••••• C•••••• A•••••••• I••• independent RIAMar 4, 2008 to Jan 10, 2014 · Seattle, Wa
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to S••••• C•••••• A•••••••• I•••left Oct 18, 2018, registered Nov 20, 2018 (33 days) · Wirehouse to independent RIA
- S••••• C•••••• A•••••••• I••• to J••• M••••• S••••••••• L••left Sep 1, 2015, registered Aug 12, 2015 (-20 days) · Other
- C••• F•••••••• S•••••••• L••• to S••••• C•••••• A•••••••• I•••left Oct 17, 2014, registered Mar 31, 2015 (165 days) · Other
- S••••• C•••••• A•••••••• I••• to C••• F•••••••• S•••••••• L•••left Jan 10, 2014, registered May 19, 2014 (129 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address