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RIA Intelligence
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Registered advisor
S•••••• M•••• S••••••••
Feed of 09/14/2026
At current firm
1 y
since Apr 4, 2025
In the industry
12 y
since Aug 1, 2014 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Apr 4, 2025 · Las Vegas, Nv
- A••••••••• F•••••••• S•••••••• L•• national BDJun 12, 2024 to Apr 8, 2025 · Las Vegas, Nv
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••left Apr 8, 2025, registered Apr 4, 2025 (-4 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
Signals
- S•••••• M•••• S•••••••• left A••••••••• F•••••••• S•••••••• L•• for M••••• S•••••• (registered 2025-04-04)Apr 8, 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address