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RIA Intelligence
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Registered advisor
R••• G•••• Z••••
Feed of 09/14/2026
Also filed as R••• G•••• Z••••
At current firm
1 y
since Mar 31, 2025
In the industry
11 y
since Jun 1, 2015 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Wayne, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• formerDec 12, 2023 to Mar 31, 2025 · Wayne, Nj
- F••••• I••••••••• independent RIAFeb 17, 2021 to Sep 26, 2022 · Plano, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 18, 2017 to Feb 8, 2021 · Encino, Ca
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
- F••••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 26, 2022, registered Dec 12, 2023 (442 days) · RIA to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••• I•••••••••left Feb 8, 2021, registered Feb 17, 2021 (9 days) · Wirehouse to independent RIA
Signals
- R••• G•••• Z•••• left F••••• I••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-12-12)Sep 26, 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address