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Registered advisor
L•••• A••• B••••••••
Feed of 09/14/2026
Also filed as L•••• A••• B••••••••
At current firm
1 y
since Feb 24, 2025
In the industry
26 y
since Jan 14, 2000 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Feb 24, 2025 · Westlake Village, Ca
- W•••• F•••• A••••••• wirehouseNov 2, 2012 to Mar 6, 2025 · Westlake Village, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Nov 5, 2012 · Westlake Village, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 17, 2003 to Oct 23, 2009 · Westlake Village, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 10, 2000 to Oct 31, 2003 · Beverly Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to L•• F•••••••• L••left Mar 6, 2025, registered Feb 24, 2025 (-10 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Nov 5, 2012, registered Nov 2, 2012 (-3 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 31, 2003, registered Oct 17, 2003 (-14 days) · Other
Signals
- L•••• A••• B•••••••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2025-02-24)Mar 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
- 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