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RIA Intelligence

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Registered advisor

M•••• W•••• H•••••••

C••••• I••••••••• A••••••• L••BD affiliatedLake Tapps, Wadual registrantIAPD 6006137

Feed of 09/14/2026

At current firm

3 y

since Sep 19, 2023

In the industry

14 y

since Feb 10, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Sep 19, 2023 · Lake Tapps, Wa
C••• F•••••••• S•••••••• L••• former
Mar 7, 2016 to Aug 17, 2023 · Redmond, Wa
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 9, 2015 to Mar 10, 2016 · Seattle, Wa
E••••• J•••• national BD
Apr 16, 2012 to Dec 3, 2015 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to C••••• I••••••••• A••••••• L••
left Aug 17, 2023, registered Sep 19, 2023 (33 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••• F•••••••• S•••••••• L•••
left Mar 10, 2016, registered Mar 7, 2016 (-3 days) · Other
E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Dec 3, 2015, registered Dec 9, 2015 (6 days) · Affiliated broker-dealer or bank to wirehouse

Signals

M•••• W•••• H••••••• left C••• F•••••••• S•••••••• L••• for C••••• I••••••••• A••••••• L•• (registered 2023-09-19)
Aug 17, 2023 · 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address