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Registered advisor

C••• B••••••• R•••••••

V••• F•••••••• A•••••••• I•••BD affiliatedTacoma, Wa dual registrantIAPD 1694859

Feed of 09/15/2026

At current firm

3 y

since Jul 25, 2023

In the industry

30 y

since Dec 21, 1995 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

V••• F•••••••• A•••••••• I••• BD affiliated current
since Jul 25, 2023 · Redwood City, Ca
C•••••• S••••• • C••• I••• national BD
Jan 26, 2022 to Dec 22, 2022 · San Mateo, Ca
T• A••••••••• I••••••••• M••••••••• L•• former
Apr 27, 2009 to Feb 9, 2023 · Palo Alto, Ca
T• A••••••••• I••• former
Apr 27, 2009 to Oct 14, 2022 · Menlo Park, Ca
E•••••• C•••••• M••••••••• L•• former
Oct 23, 2006 to Feb 9, 2009 · Jersey City, Nj
C•••••• S••••• • C••• I••• national BD
Dec 7, 1999 to Jun 15, 2006 · Irvine, Ca

Moves

a registration end followed by a registration begin elsewhere

T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Feb 9, 2023, registered Jan 26, 2022 (-379 days) · channel change inside one enterprise, not a move
C•••••• S••••• • C••• I••• to V••• F•••••••• A•••••••• I•••
left Dec 22, 2022, registered Jul 25, 2023 (215 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered Apr 27, 2009 (-4918 days) · corporate re-registration, not a move
E•••••• C•••••• M••••••••• L•• to T• A••••••••• I•••
left Feb 9, 2009, registered Apr 27, 2009 (77 days) · Other
C•••••• S••••• • C••• I••• to E•••••• C•••••• M••••••••• L••
left Jun 15, 2006, registered Oct 23, 2006 (130 days) · Other

Signals

C••• B••••••• R••••••• left C•••••• S••••• • C••• I••• for V••• F•••••••• A•••••••• I••• (registered 2023-07-25)
Dec 22, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address