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RIA Intelligence

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Registered advisor

C•••••• L••• D••••••

C•••••• S••••• • C••• I•••national BDOakland, Ca dual registrantIAPD 2931658

Certified Financial Planner

Feed of 09/15/2026

At current firm

1 y

since Jan 29, 2025

In the industry

20 y

since May 12, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• S••••• • C••• I••• national BD current
since Jan 29, 2025 · Oakland, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Jan 12, 2022 to Jan 6, 2025 · San Francisco, Ca
C•••••• S••••• • C••• I••• national BD
Nov 19, 2013 to Dec 17, 2021 · San Francisco, Ca
U••• F•••••••• P••••••• S••••••• former
Dec 20, 2012 to Oct 29, 2013 · San Francisco, Ca
C•••••• S••••• • C••• I••• national BD
Feb 8, 2010 to Nov 30, 2012 · San Mateo, Ca
E•••••• C•••••• M••••••••• L•• former
Jul 23, 2009 to Jan 15, 2010 · Arlington, Va
E••••• J•••• national BD
Feb 12, 2007 to Apr 2, 2009 · San Carlos, Ca

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••
left Jan 6, 2025, registered Jan 29, 2025 (23 days) · Affiliated broker-dealer or bank to another
C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Dec 17, 2021, registered Jan 12, 2022 (26 days) · Affiliated broker-dealer or bank to another
U••• F•••••••• P••••••• S••••••• to C•••••• S••••• • C••• I•••
left Oct 29, 2013, registered Nov 19, 2013 (21 days) · Other
C•••••• S••••• • C••• I••• to U••• F•••••••• P••••••• S•••••••
left Nov 30, 2012, registered Dec 20, 2012 (20 days) · Affiliated broker-dealer or bank to a newly registered adviser
E•••••• C•••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Jan 15, 2010, registered Feb 8, 2010 (24 days) · Other
E••••• J•••• to E•••••• C•••••• M••••••••• L••
left Apr 2, 2009, registered Jul 23, 2009 (112 days) · Other

Signals

C•••••• L••• D•••••• left F••••••• P••••••• A•• W•••••••• A••••••• for C•••••• S••••• • C••• I••• (registered 2025-01-29)
Jan 6, 2025 · 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: National broker-dealer RIAderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address