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RIA Intelligence
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Registered advisor
J••• C•••••• Y••••
Feed of 09/14/2026
At current firm
11 y
since Apr 28, 2015
In the industry
30 y
since Aug 9, 1996 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 28, 2015 · Houston, Tx
- E•••• V•••• M••••••••• asset managerJun 6, 2011 to Apr 21, 2015 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- E•••• V•••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 21, 2015, registered Apr 28, 2015 (7 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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address