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RIA Intelligence
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Registered advisor
D•••• R• P•••••
Feed of 09/14/2026
At current firm
13 y
since Feb 19, 2013
In the industry
18 y
since May 8, 2008 (earliest exam, job or registration)
Prior registered firms
3
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• I••••••••• I••• BD affiliated currentsince Feb 19, 2013 · Wilmington, Nc
- L•• F•••••••• L•• BD affiliatedMar 26, 2012 to Feb 20, 2013 · Wilmington, Nc
- B••• I••••••••• S•••••••• I••• formerMay 10, 2011 to Mar 13, 2012 · Castle Hayne, Nc
- E••••• J•••• national BDMay 21, 2008 to May 4, 2011 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to O•••• I••••••••• I•••left Feb 20, 2013, registered Feb 19, 2013 (-1 days) · Other
- B••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Mar 13, 2012, registered Mar 26, 2012 (13 days) · Other
- E••••• J•••• to B••• I••••••••• S•••••••• I•••left May 4, 2011, registered May 10, 2011 (6 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address