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Registered advisor
S•••• B•••••• M••••
Feed of 09/14/2026
Also filed as S•••• B M••••
At current firm
4 y
since Oct 4, 2021
In the industry
20 y
since Nov 8, 2005 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- W•••• F•••• A••••••• wirehouse currentsince Oct 4, 2021 · Solana Beach, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Sep 2, 2021 · Palm Springs, Ca
- C•••• I••••••••• S••••••• C•••• formerJun 16, 2011 to Oct 1, 2012 · Palm Springs, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMSep 24, 2008 to Feb 19, 2010 · La Quinta, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Sep 2, 2021, registered Oct 4, 2021 (32 days) · Wirehouse to wirehouse · moved with a team
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to C•••• I••••••••• S••••••• C••••left Feb 19, 2010, registered Jun 16, 2011 (482 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address