S•••• A••• K•••

• M•• I•••••••• S•••••••• L•• BD affiliated current
  since Feb 22, 2018 · Pasadena, Ca
• P•••• S••••••••• L•• no RAUM
  Feb 27, 2015 to Jan 9, 2018 · Sherman Oaks, Ca
• M•• I•••••••• S•••••••• L•• BD affiliated
  Nov 11, 2013 to Feb 4, 2015 · Westlake Village, Ca
• E•••• S••••••••• L•• BD affiliated
  Mar 15, 2012 to Sep 13, 2013 · Woodland, Ca
• E•• F•••••••• A••••••• independent RIA
  Jan 16, 2004 to Jul 19, 2005 · Agoura Hills, Ca
• P•••• S••••••••• L•• no RAUM
  May 6, 1998 to Dec 9, 2003 · Van Nuys, Ca

• P•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••
  left Jan 9, 2018, registered Feb 22, 2018 (44 days) · Other · moved with a team
• M•• I•••••••• S•••••••• L•• to P•••• S••••••••• L••
  left Feb 4, 2015, registered Feb 27, 2015 (23 days) · Other · moved with a team
• E•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••
  left Sep 13, 2013, registered Nov 11, 2013 (59 days) · Other
• E•• F•••••••• A••••••• to E•••• S••••••••• L••
  left Jul 19, 2005, registered Mar 15, 2012 (2431 days) · Other
• P•••• S••••••••• L•• to E•• F•••••••• A•••••••
  left Dec 9, 2003, registered Jan 16, 2004 (38 days) · Other

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.

Source

IAPD individual compilation feedreportedadviserinfo.sec.gov

Firm class

Broker-dealer affiliated wealth managerderived

Years in industry

30derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address