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R••••• J• M••••••••

Registered advisorat C•••••• S••••• • C••• I•••Dual registrant· Los Altos, Ca IAPD 2530448
At current firm
24 y
since Apr 5, 2002
In the industry
31 y
Prior registered firms
0
Signals
0
As of · the IAPD feed; also filed as R••••• J• M••••••••• J••• M••••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Recruiter brief
facts first, then what DFX measured about them; never a statement of intent
Recruiting value
  • Practice attractivenesssome
    31.8 years in the industry
  • Team depthnone
    0 of the 0 people who once moved firms with this advisor are registered here now (a team seen in registrations; web team pages are not used until they pass review).
  • Entrepreneurial profilenone
    Details are shown to subscribers.
  • Real estate activitynone
    Details are shown to subscribers.
  • Contactabilityweak
    no contact route found
Movement evidence
  • Movement signalnone
    0 of 1 dated or circumstantial reading historically went with moving. The forward-tested move model places this advisor in its Baseline band.
  • Recent change activitynone
    Details are shown to subscribers.
  • Independence preparationnone
    No concrete evidence of preparation for independence.
  • Historical mobilitynone
    0 prior firms. Patterns that went with staying: thirty or more years in the industry; fifteen or more years at the current firm.
Dated changes and circumstances, and what they have meant historically
  • weak move associationA known colleague moved to an independent RIA in the prior 180 days
    At BROKERAGE_ADVISORY, 5.1% with this moved within a year, against 4.5% without it (1.15x, 2023 to 2025 cohorts).
Career
  • 31.8 years in the industry
  • 24.5 years at the current firm
  • 0 prior registered firms
  • retention indicatorthirty or more years in the industryAt BROKERAGE_ADVISORY, 2.8% with this moved within a year, against 4.5% without it (0.61x, 2023 to 2025 cohorts).
  • retention indicatorfifteen or more years at the current firmAt BROKERAGE_ADVISORY, 1.8% with this moved within a year, against 4.7% without it (0.40x, 2023 to 2025 cohorts).
Source: IAPD adviser registrations only (broker-only history is not in this feed)
Licensing and credentials
  • Registered in 2 states (firm median 1)
  • Exams: Series 63, Series 65
  • Registered as a broker as well as an adviser
Source: IAPD individual feed; broker exams and states appear once the per-person record is read
Around this advisor
  • 1 of about 22 in the office left in the last 180 days
  • 3 known colleagues changed firms in the last year
  • 1 went to an independent RIA in the last 180 days
Regulatory record

Shown to subscribers, with the official record linked.

Registration history
IAPD current and previous registrations
    Moves
    a registration end followed by a registration begin elsewhere
    No firm change on the tape.
    Signals
    No dated event on this person.
    Transition signals

    Mobility scoring is not published yet.

    Provenance
    Source
    IAPD individual compilation feedreportedadviserinfo.sec.gov
    Firm class
    Brokerage advisory programderived
    Years in industry
    31derivedfrom the earliest dated exam, employment or registration
    Not published
    disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote