P•••• L••••••• M•••••

S•••••• P••••••• I••••••••• A•••••••• L••BD affiliatedLake Oswego, Or dual registrantIAPD 2393714

Feed of 09/15/2026

Also filed as P•••• M•••••

At current firm

3 y

since Jul 31, 2023

In the industry

33 y

since Sep 15, 1993 (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

S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated current
since Jul 31, 2023 · Lake Oswego, Or
C••••••••• F•••••••• N•••••• national BD
May 16, 2008 to Jul 31, 2023 · Lake Oswego, Or
C•••••••• G••••• M•••••• I••• BD affiliated
Apr 15, 2003 to Jun 5, 2008 · Portland, Or

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to S•••••• P••••••• I••••••••• A•••••••• L••
left Jul 31, 2023, registered Jul 31, 2023 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
C•••••••• G••••• M•••••• I••• to C••••••••• F•••••••• N••••••
left Jun 5, 2008, registered May 16, 2008 (-20 days) · Other

Signals

••• Locked
Jul 31, 2023 · 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: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address