P•••••• L••••••• T••••••

N••••••••• M••••• I••••••••• S•••••••••no RAUMRichmond, Vadual registrantIAPD 6652585

Feed of 09/14/2026

Also filed as P•••••• T••••••••• L••••••• T••••••

At current firm

3 y

since Sep 14, 2023

In the industry

10 y

since Jun 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

N••••••••• M••••• I••••••••• S••••••••• no RAUM current
since Sep 14, 2023 · Richmond, Va
R•••••• J•••• • A••••••••• I••• national BD
Apr 29, 2021 to Jul 28, 2023 · Richmond, Va
O•••• W•••••• I••• BD affiliated
Feb 7, 2020 to Apr 12, 2021 · Henrico, Va

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• • A••••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••
left Jul 28, 2023, registered Sep 14, 2023 (48 days) · Other
O•••• W•••••• I••• to R•••••• J•••• • A••••••••• I•••
left Apr 12, 2021, registered Apr 29, 2021 (17 days) · Affiliated broker-dealer or bank to another

Signals

••• Locked
Jul 28, 2023 · 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: No RAUM reportedderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address