RIA Intelligence

• U••• B•••••• A•••••••• L•• BD affiliated current
  since Feb 13, 2026 · Burlingame, Ca
• U••• B•••••• I••••••••• I••• former
  Sep 9, 2015 to Feb 13, 2026 · San Francisco, Ca
• H••• S••••••••• •••• I••• BD affiliated
  Jan 6, 2006 to Sep 23, 2015 · Seattle, Wa
• M••••• S•••••• D• I••• unclassified
  Mar 14, 2001 to Sep 14, 2005 · San Francisc, Ca

• U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
  left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
• H••• S••••••••• •••• I••• to U••• B•••••• I••••••••• I•••
  left Sep 23, 2015, registered Sep 9, 2015 (-14 days) · Other
• M••••• S•••••• D• I••• to H••• S••••••••• •••• I•••
  left Sep 14, 2005, registered Jan 6, 2006 (114 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

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address