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RIA Intelligence
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Feed of 09/15/2026
Also filed as R•••••• Ann F••••
At current firm
0 y
since Dec 1, 2025
In the industry
11 y
since Sep 1, 2015 (earliest exam, job or registration)
Prior registered firms
4
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
3
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Dec 1, 2025 · Whitesboro, Tx
- L•• E••••••••• L•• BD affiliatedNov 14, 2024 to Dec 5, 2025 · Mercer Island, Wa
- P•••• S••••••••• L•• no RAUMNov 16, 2023 to Nov 14, 2024 · Mercer Island, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 27, 2022 to Nov 1, 2023 · Spokane, Wa
- E••••• J•••• national BDAug 30, 2017 to Jan 28, 2022 · Deer Park, Wa
Moves
a registration end followed by a registration begin elsewhere
- L•• E••••••••• L•• to E••••• J••••left Dec 5, 2025, registered Dec 1, 2025 (-4 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••• S••••••••• L••left Nov 1, 2023, registered Nov 16, 2023 (15 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 28, 2022, registered Jan 27, 2022 (-1 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- R•••••• F•••• left L•• E••••••••• L•• for E••••• J•••• (registered 2025-12-01)Dec 5, 2025 · Advisor changed firm · fact
- R•••••• F•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for P•••• S••••••••• L•• (registered 2023-11-16)Nov 1, 2023 · Advisor changed firm · fact
- R•••••• F•••• left E••••• J•••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-01-27)Jan 28, 2022 · 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
- 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