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RIA Intelligence
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Registered advisor
R•••••• C• S••••••
Feed of 09/14/2026
Also filed as R•••••• S••••••
At current firm
1 y
since Mar 26, 2025
In the industry
10 y
since Apr 1, 2016 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 26, 2025 · Larchmont, Ny
- C•••••• S••••• • C••• I••• national BDJan 27, 2022 to Apr 9, 2025 · Greenwich, Ct
- T• A••••••••• I••• formerMar 2, 2021 to Mar 7, 2022 · Burlington, Ma
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 2, 2021 to Mar 7, 2022 · Burlington, Ma
- T• A••••••••• I••• formerFeb 27, 2018 to Jan 11, 2021 · Portsmouth, Nh
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Dec 31, 2020 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerMar 15, 2017 to Feb 26, 2018 · Saint Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to J••• M••••• S••••••••• L••left Apr 9, 2025, registered Mar 26, 2025 (-14 days) · Affiliated broker-dealer or bank to wirehouse
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Mar 7, 2022, registered Jan 27, 2022 (-39 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 7, 2022, registered Mar 2, 2021 (-370 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 11, 2021, registered Mar 2, 2021 (50 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Feb 27, 2018 (-1038 days) · corporate re-registration, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
Signals
- R•••••• C• S•••••• left C•••••• S••••• • C••• I••• for J••• M••••• S••••••••• L•• (registered 2025-03-26)Apr 9, 2025 · 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
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address