RIA Intelligence

• U••• B•••••• A•••••••• L•• BD affiliated current
  since Feb 13, 2026 · Downey, Ca
• U••• B•••••• I••••••••• I••• former
  Oct 20, 2009 to Feb 13, 2026 · Downey, Ca
• C•••• I••••••••• S••••••• C•••• former
  May 2, 2009 to Oct 5, 2009 · West Covina, Ca
• W••• I••••••••• I••• unclassified
  Feb 28, 2006 to May 2, 2009 · Irvine, Ca

• U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
  left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
• C•••• I••••••••• S••••••• C•••• to U••• B•••••• I••••••••• I•••
  left Oct 5, 2009, registered Oct 20, 2009 (15 days) · Other
• W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••
  left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move

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.

Source

IAPD individual compilation feedreportedadviserinfo.sec.gov

Firm class

Broker-dealer affiliated wealth managerderived

Years in industry

20derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address