S••••• L•••• P••••••

• C••••• I••••••••• A••••••• L•• BD affiliated current
  since Jun 29, 2023 · Livermore, Ca
• S••••• F•••••••• G•••• I•• former
  Jan 12, 2004 to May 20, 2021 · Pleasant Hill, Ca
• W•••• F•••• A••••••• wirehouse
  Oct 28, 2003 to Dec 18, 2003 · Walnut Creek, Ca

• S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••
  left May 20, 2021, registered Jun 29, 2023 (770 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to S••••• F•••••••• G•••• I••
  left Dec 18, 2003, registered Jan 12, 2004 (25 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

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address