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RIA Intelligence

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Registered advisor

C••••••• M•••• B••••

S•••••••• A••••••• L••national BDNewburgh, Ny dual registrantIAPD 5964618

Feed of 09/15/2026

Also filed as C••••••• B••••

At current firm

1 y

since Mar 31, 2025

In the industry

15 y

since Aug 1, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Chappaqua, Ny
F••••••• P••••••• A•• W•••••••• A••••••• former
Apr 5, 2022 to Mar 31, 2025 · Chappaqua, Ny
C••••••• S••••••••• I••• BD affiliated
Apr 17, 2018 to Feb 25, 2022 · Newburgh, Ny
M•• S••••••••• I••• unclassified
Jan 6, 2015 to Apr 24, 2018 · Brewster, Ny

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
C••••••• S••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Feb 25, 2022, registered Apr 5, 2022 (39 days) · Affiliated broker-dealer or bank to another
M•• S••••••••• I••• to C••••••• S••••••••• I•••
left Apr 24, 2018, registered Apr 17, 2018 (-7 days) · Other

Signals

C••••••• M•••• B•••• left C••••••• S••••••••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-04-05)
Feb 25, 2022 · 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: National broker-dealer RIAderived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address