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RIA Intelligence
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Feed of 09/14/2026
At current firm
13 y
since May 30, 2013
In the industry
34 y
since Oct 28, 1991 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- J••• C••••••• L•• other currentsince May 30, 2013 · Walnut Creek, Ca
- H••••• • A••••• C•••••• M••••••••• I••• unclassifiedNov 6, 2003 to Dec 6, 2007 · San Francisco, Ca
- H••••• • A••••• C•••••• M••••••••• I••• unclassifiedAug 24, 1998 to Jul 12, 2002 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- H••••• • A••••• C•••••• M••••••••• I••• to J••• C••••••• L••left Dec 6, 2007, registered May 30, 2013 (2002 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
- Other adviserderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address