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Registered advisor
J••• L•••• D••••••••
Feed of 09/14/2026
At current firm
0 y
since Jan 1, 2026
In the industry
42 y
since Feb 18, 1984 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- D•••••••• C•••••• M••••••••• L•• former currentsince Jan 1, 2026 · Mill Valley, Ca
- D•••••••• C•••••• M••••••••• L•• formerJan 4, 2012 to Dec 31, 2015 · San Rafael, Ca
- J••• M••••• S••••••••• L•• wirehouseSep 13, 2004 to Jan 9, 2012 · San Francisco, Ca
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Sep 16, 2004 · San Francisco, Ca
- P••••••• L•• unclassifiedJul 8, 1997 to Jan 17, 2003 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to D•••••••• C•••••• M••••••••• L••left Jan 9, 2012, registered Jan 4, 2012 (-5 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C••••• S••••• S••••••••• •••• L•• to J••• M••••• S••••••••• L••left Sep 16, 2004, registered Sep 13, 2004 (-3 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (0 days) · corporate re-registration, not a move
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
- Former SEC-registered adviserderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address