T•••••• B•••• M••••

• C•••••• M••••••••• A•••••• G••••• L•• independent RIA current
  since Aug 14, 2019 · Walnut Creek, Ca
• C••••• A•••••• N••••••• L•• former
  Aug 27, 2008 to Nov 25, 2019 · Walnut Creek, Ca
• H•••••• T••••••• • K•••• L•• independent RIA
  Sep 19, 2002 to Aug 27, 2008 · Walnut Creek, Ca
• W••••• M••••••••• C••••••••• I•• unclassified
  Jul 26, 2002 to Sep 15, 2010

• C••••• A•••••• N••••••• L•• to C•••••• M••••••••• A•••••• G••••• L••
  left Nov 25, 2019, registered Aug 14, 2019 (-103 days) · Affiliated broker-dealer or bank to a newly registered adviser
• W••••• M••••••••• C••••••••• I•• to H•••••• T••••••• • K•••• L••
  left Sep 15, 2010, registered Sep 19, 2002 (-2918 days) · Other
• H•••••• T••••••• • K•••• L•• to C••••• A•••••• N••••••• L••
  left Aug 27, 2008, registered Aug 27, 2008 (0 days) · Other

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

Independent wealth managerderived

Years in industry

35derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address