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Registered advisor
S•••••• D••••• G•••••
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseNewport Beach, Ca dual registrantIAPD 2935524
Feed of 09/14/2026
Also filed as S•••••• D••••• G•••••
At current firm
8 y
since Apr 6, 2018
In the industry
28 y
since Mar 9, 1998 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
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 6, 2018 · Newport Beach, Ca
- S•••••••• I••••••••• M••••••••• formerJan 27, 2017 to Mar 8, 2018 · Saint Louis, Mo
- J••• M••••• S••••••••• L•• wirehouseJun 29, 2015 to Oct 13, 2016 · Berkeley, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 6, 2008 to Jun 3, 2015 · Walnut Creek, Ca
- T• A••••••••• I••• formerFeb 6, 2008 to Jun 3, 2015 · Walnut Creek, Ca
- U•• F•••••••• S••••••• I••• wirehouseJan 13, 2005 to Apr 7, 2006 · San Francisco, Ca
- C•••••• S••••• • C••• I••• national BDJul 27, 2004 to Nov 29, 2004 · Ca
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• I••••••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 8, 2018, registered Apr 6, 2018 (29 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- J••• M••••• S••••••••• L•• to S•••••••• I••••••••• M•••••••••left Oct 13, 2016, registered Jan 27, 2017 (106 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jun 3, 2015, registered Feb 6, 2008 (-2674 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jun 3, 2015, registered Feb 6, 2008 (-2674 days) · channel change inside one enterprise, not a move
- U•• F•••••••• S••••••• I••• to T• A••••••••• I•••left Apr 7, 2006, registered Feb 6, 2008 (670 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C•••••• S••••• • C••• I••• to U•• F•••••••• S••••••• I•••left Nov 29, 2004, registered Jan 13, 2005 (45 days) · Affiliated broker-dealer or bank to wirehouse
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address