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Registered advisor
J••• D•••• R••••
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseSan Francisco, Cadual registrantIAPD 2145750
Feed of 09/14/2026
Also filed as J••• Dave R••••
At current firm
7 y
since Oct 11, 2018
In the industry
34 y
since Apr 15, 1992 (earliest exam, job or registration)
Prior registered firms
4
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 11, 2018 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Oct 9, 2018 · Berkeley, Ca
- W•••• F•••• I••••••••• L•• unclassifiedOct 29, 2004 to Jan 3, 2011 · San Francisco, Ca
- M••• S••••••••• C••••••••• unclassifiedJan 7, 2003 to Nov 7, 2003 · San Francisco, Ca
- C•••••• L•• independent RIAOct 17, 2002 to Nov 8, 2002 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 9, 2018, registered Oct 11, 2018 (2 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- M••• S••••••••• C••••••••• to W•••• F•••• I••••••••• L••left Nov 7, 2003, registered Oct 29, 2004 (357 days) · Other
- C•••••• L•• to M••• S••••••••• C•••••••••left Nov 8, 2002, registered Jan 7, 2003 (60 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
- Wirehousederived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address