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RIA Intelligence
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Registered advisor
S•••• E•••••• M•••
Feed of 09/15/2026
At current firm
1 y
since May 5, 2025
In the industry
20 y
since Aug 1, 2006 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince May 5, 2025 · Ashburn, Va
- R•••••• J•••• • A••••••••• I••• national BDFeb 17, 2017 to May 6, 2025 · Ashburn, Va
- W•••• F•••• A••••••• wirehouseAug 15, 2013 to Feb 27, 2017 · Leesburg, Va
- O•••• F•• I••• formerMar 25, 2013 to Aug 16, 2013 · Sterling, Va
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to L•• F•••••••• L••left May 6, 2025, registered May 5, 2025 (-1 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Feb 27, 2017, registered Feb 17, 2017 (-10 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- O•••• F•• I••• to W•••• F•••• A•••••••left Aug 16, 2013, registered Aug 15, 2013 (-1 days) · Other
Signals
- S•••• E•••••• M••• left R•••••• J•••• • A••••••••• I••• for L•• F•••••••• L•• (registered 2025-05-05)May 6, 2025 · Advisor changed firm · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address