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RIA Intelligence
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Registered advisor
S•••• R••••• M•••••••
Feed of 09/14/2026
At current firm
14 y
since Apr 27, 2012
In the industry
44 y
since Aug 2, 1982 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O••••••••• • C•• I••• BD affiliated currentsince Apr 27, 2012 · Denver, Co
- R•• C•••••• M••••••• L•• national BDNov 18, 2002 to Mar 26, 2012 · Denver, Co
- P•••• S•••••• • C•• institutionalJan 1, 1999 to Dec 3, 2002 · Denver, Co
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to O••••••••• • C•• I•••left Mar 26, 2012, registered Apr 27, 2012 (32 days) · Other
- P•••• S•••••• • C•• to R•• C•••••• M••••••• L••left Dec 3, 2002, registered Nov 18, 2002 (-15 days) · Other
Signals
No dated event on this person.
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address