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RIA Intelligence
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Registered advisor
R•••• L••••• G•••••
Feed of 09/14/2026
Also filed as R•••• L••••• G•••••
At current firm
5 y
since Feb 17, 2021
In the industry
11 y
since Mar 1, 2015 (earliest exam, job or registration)
Prior registered firms
3
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
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Feb 17, 2021 · Charlotte, Nc
- B••• S••••••••• L•• formerFeb 26, 2018 to Feb 17, 2021 · Charlotte, Nc
- P•• W••••• M••••••••• BD affiliatedAug 15, 2017 to Feb 13, 2018 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 25, 2015 to Jul 27, 2017 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to B••• S••••••••• L••left Feb 13, 2018, registered Feb 26, 2018 (13 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left Jul 27, 2017, registered Aug 15, 2017 (19 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address