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RIA Intelligence
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Registered advisor
G••••• M••••• Y••••
Feed of 09/14/2026
Also filed as G••••• M••••• Rogers
At current firm
6 y
since Aug 14, 2020
In the industry
11 y
since Jan 16, 2015 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
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•••••••• A••••••• national BD currentsince Aug 14, 2020 · South Holland, Il
- L•••••• I••••••••• independent RIAApr 8, 2016 to Aug 22, 2016 · Lombard, Il
- A••••••••• F•••••••• S•••••••• L•• national BDJan 16, 2015 to Mar 11, 2016 · Orland Park, Il
Moves
a registration end followed by a registration begin elsewhere
- L•••••• I••••••••• to P•••••••• A•••••••left Aug 22, 2016, registered Aug 14, 2020 (1453 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•••••• I•••••••••left Mar 11, 2016, registered Apr 8, 2016 (28 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
- 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