D••••• A• W•••

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since Aug 6, 2025 · Petaluma, Ca
• L•• E••••••••• L•• BD affiliated
  Nov 14, 2024 to Jul 15, 2025 · Walnut Creek, Ca
• P•••• S••••••••• L•• no RAUM
  Oct 8, 2020 to Nov 14, 2024 · San Ramon, Ca
• V•••• F•••••••• A•••••••• I••• BD affiliated
  Jun 22, 2017 to Feb 5, 2020 · Roseville, Ca
• M•• F•••••••• S•••••••• I••• former
  Nov 10, 2009 to Jan 4, 2016 · Sacramento, Ca
• E••••• J•••• national BD
  Jan 20, 2009 to Jul 23, 2009 · Olivehurst, Ca

• L•• E••••••••• L•• to A••••••••• F•••••••• S•••••••• L••
  left Jul 15, 2025, registered Aug 6, 2025 (22 days) · Affiliated broker-dealer or bank to another
• P•••• S••••••••• L•• to L•• E••••••••• L••
  left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
• V•••• F•••••••• A•••••••• I••• to P•••• S••••••••• L••
  left Feb 5, 2020, registered Oct 8, 2020 (246 days) · Affiliated broker-dealer or bank to another
• M•• F•••••••• S•••••••• I••• to V•••• F•••••••• A•••••••• I•••
  left Jan 4, 2016, registered Jun 22, 2017 (535 days) · Other
• E••••• J•••• to M•• F•••••••• S•••••••• I•••
  left Jul 23, 2009, registered Nov 10, 2009 (110 days) · Other

• ••• Locked
  Jul 15, 2025 · Advisor changed firm · fact

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

National broker-dealer RIAderived

Years in industry

17derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address