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RIA Intelligence
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Registered advisor
T••••• J•••• C••••••
Feed of 09/14/2026
At current firm
7 y
since Apr 30, 2019
In the industry
21 y
since Mar 17, 2005 (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
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
- L•• F•••••••• L•• BD affiliated currentsince Apr 30, 2019 · Walnut Creek, Ca
- C••••• A••••••• L•• formerMar 22, 2013 to May 14, 2019 · Walnut Creek, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDOct 12, 2012 to Mar 21, 2013 · Walnut Creek, Ca
- C•••••••• F••••••••• I••• BD affiliatedJun 17, 2011 to Oct 25, 2012 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••••• A••••••• L•• to L•• F•••••••• L••left May 14, 2019, registered Apr 30, 2019 (-14 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to C••••• A••••••• L••left Mar 21, 2013, registered Mar 22, 2013 (1 days) · Other
- C•••••••• F••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 25, 2012, registered Oct 12, 2012 (-13 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address