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Registered advisor
S•• A•••••••••
Feed of 09/14/2026
Also filed as S•• A•••••••••
At current firm
0 y
since Sep 2, 2026
In the industry
11 y
since Jan 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, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 2, 2026 · Minneapolis, Mn
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Apr 3, 2025 · Boston, Ma
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 31, 2024 to Mar 31, 2025 · Minneapolis, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDMay 2, 2023 to Nov 15, 2023 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Apr 3, 2025, registered Sep 2, 2026 (517 days) · Affiliated broker-dealer or bank to another
- 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
- A••••••••• F•••••••• S•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 15, 2023, registered Jan 31, 2024 (77 days) · Affiliated broker-dealer or bank to another · moved with a team
Signals
- S•• A••••••••• left S•••••••• A••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2026-09-02)Apr 3, 2025 · Advisor changed firm · fact
- S•• A••••••••• left A••••••••• F•••••••• S•••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-01-31)Nov 15, 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
- 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