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RIA Intelligence
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Feed of 09/14/2026
At current firm
3 y
since Sep 5, 2023
In the industry
17 y
since Mar 16, 2009 (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
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
- M••••• S•••••• wirehouse currentsince Sep 5, 2023 · Portland, Or
- E•••••• C•••••• M••••••••• L•• formerJan 31, 2013 to Sep 5, 2023 · Arlington, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 6, 2011 to Jan 11, 2013 · Portland, Or
- P••••••• • C•••••• formerMar 17, 2009 to May 27, 2011 · Portland, Or
Moves
a registration end followed by a registration begin elsewhere
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• C•••••• M••••••••• L••left Jan 11, 2013, registered Jan 31, 2013 (20 days) · Other
- P••••••• • C•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 27, 2011, registered Sep 6, 2011 (102 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address