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RIA Intelligence
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Registered advisor
T••••• G•••••••••
Feed of 09/15/2026
Also filed as T••••• G•••••••••
At current firm
1 y
since Mar 31, 2025
In the industry
11 y
since Aug 1, 2015 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Ashburn, Va
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 11, 2023 to Mar 31, 2025 · Ashburn, Va
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJan 6, 2023 to Sep 20, 2023 · Watertown, Ny
- L•• F•••••••• L•• BD affiliatedJun 11, 2021 to Dec 19, 2022 · Lowville, Ny
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 20, 2023, registered Oct 11, 2023 (21 days) · Other
- L•• F•••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Dec 19, 2022, registered Jan 6, 2023 (18 days) · Other
Signals
- T••••• G••••••••• left N••••••••• M••••• I••••••••• S••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-10-11)Sep 20, 2023 · Advisor changed firm · fact
- T••••• G••••••••• left L•• F•••••••• L•• for N••••••••• M••••• I••••••••• S••••••••• (registered 2023-01-06)Dec 19, 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