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RIA Intelligence
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Feed of 09/14/2026
At current firm
2 y
since Apr 16, 2024
In the industry
11 y
since Jul 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, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- T•• A•••••••• G•••• BD affiliated currentsince Apr 16, 2024 · Auburn, Wa
- O•••• W•••••• I••• BD affiliatedSep 1, 2023 to Apr 11, 2024 · Scottsdale, Az
- S•••••••• F••••••••• I••• formerAug 27, 2020 to Sep 1, 2023 · Scottsdale, Az
- K•• F•••••••• S•••••••• I•• formerJun 25, 2019 to Sep 21, 2020 · Seattle, Wa
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to T•• A•••••••• G••••left Apr 11, 2024, registered Apr 16, 2024 (5 days) · Affiliated broker-dealer or bank to another
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- K•• F•••••••• S•••••••• I•• to S•••••••• F••••••••• I•••left Sep 21, 2020, registered Aug 27, 2020 (-25 days) · channel change inside one enterprise, not a move
Signals
- Q•• N••••• left O•••• W•••••• I••• for T•• A•••••••• G•••• (registered 2024-04-16)Apr 11, 2024 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address