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RIA Intelligence
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Registered advisor
S•••••• S• S••••••
Feed of 09/14/2026
Also filed as S•••••• S• S••••••
At current firm
8 y
since Feb 22, 2018
In the industry
15 y
since Dec 7, 2010 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- P•••••••• S••••••••• I••• BD affiliated currentsince Feb 22, 2018 · Waxhaw, Nc
- L•• F•••••••• L•• BD affiliatedSep 27, 2016 to Dec 22, 2016 · Greensboro, Nc
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to P•••••••• S••••••••• I•••left Dec 22, 2016, registered Feb 22, 2018 (427 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address