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Registered advisor
D••••• F•••••• C••••••••
Feed of 09/14/2026
Also filed as D••••• F•••••• C••••••••
At current firm
0 y
since Jan 1, 2026
In the industry
28 y
since Nov 7, 1997 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- F••••• F•••• • F•••••• A•••• M••••••••• state registered currentsince Jan 1, 2026 · Bartlesville, Ok
- F••••• F•••• • F•••••• A•••• M••••••••• state registeredJan 30, 2019 to Dec 31, 2019 · Norco, Ca
- F••••• F•••• • F•••••• A•••• M••••••••• state registeredFeb 9, 2018 to Dec 31, 2018 · Los Angeles, Ca
- F••••• F•••• • F•••••• A•••• M••••••••• state registeredMar 24, 2014 to Dec 31, 2017 · Norco, Ca
- F••••• F•••• • F•••••• A•••• M••••••••• state registeredSep 7, 2007 to Dec 31, 2013 · Century City, Ca
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedSep 23, 2005 to Oct 31, 2008 · Century City, Ca
- M••••• S•••••• D• I••• unclassifiedJun 4, 1999 to Aug 29, 2005 · Beverly Hls, Ca
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S•••••••• I••• to F••••• F•••• • F•••••• A•••• M•••••••••left Oct 31, 2008, registered Sep 7, 2007 (-420 days) · Other
- M••••• S•••••• D• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Aug 29, 2005, registered Sep 23, 2005 (25 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
- STATE REGISTEREDderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address