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RIA Intelligence
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Registered advisor
R••••• N••••
Feed of 09/14/2026
At current firm
4 y
since May 4, 2022
In the industry
31 y
since Oct 6, 1994 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• I••••••••• I••• BD affiliated currentsince May 4, 2022 · Woodland Hills, Ca
- L•• F•••••••• L•• BD affiliatedJan 24, 2018 to May 18, 2022 · Woodland Hills, Ca
- S•••••••• F••••••••• I••• formerOct 5, 2012 to Jan 12, 2018 · Valley Glen, Ca
- L•• F•••••••• L•• BD affiliatedJun 20, 2011 to Oct 17, 2012 · Woodland, Ca
- C••• B•••••••• S•••••••• I••• formerAug 10, 2005 to Jun 21, 2011 · Woodland Hills, Ca
- L•• F•••••••• L•• BD affiliatedMay 12, 2005 to Jul 25, 2005 · Redondo Beach, Ca
- E•••• N••••••• S••••••••• I••• formerAug 11, 2004 to Mar 4, 2005 · Napa, Ca
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to O•••• I••••••••• I•••left May 18, 2022, registered May 4, 2022 (-14 days) · RIA to affiliated broker-dealer or bank · moved with a team
- S•••••••• F••••••••• I••• to L•• F•••••••• L••left Jan 12, 2018, registered Jan 24, 2018 (12 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to S•••••••• F••••••••• I•••left Oct 17, 2012, registered Oct 5, 2012 (-12 days) · Other
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left Jun 21, 2011, registered Jun 20, 2011 (-1 days) · Other
- L•• F•••••••• L•• to C••• B•••••••• S•••••••• I•••left Jul 25, 2005, registered Aug 10, 2005 (16 days) · Other
- E•••• N••••••• S••••••••• I••• to L•• F•••••••• L••left Mar 4, 2005, registered May 12, 2005 (69 days) · Other
Signals
- R••••• N•••• left L•• F•••••••• L•• for O•••• I••••••••• I••• (registered 2022-05-04)May 18, 2022 · 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address