K•••• L•• L•••••

• M••••• S•••••• wirehouse current
  since Nov 24, 2025 · Modesto, Ca
• L•• F•••••••• L•• BD affiliated
  Jul 19, 2023 to Oct 16, 2025 · Stockton, Ca
• B••••••• I••••••••• S•••••••• I••• ••••• former
  Feb 10, 2014 to Jul 19, 2023 · Lodi, Ca
• W•••• F•••• A••••••• wirehouse
  Jan 3, 2011 to Feb 4, 2014 · Minneapolis, Mn
• W•••• F•••• I••••••••• L•• unclassified
  May 15, 2001 to Jan 3, 2011 · Modesto, Ca

• L•• F•••••••• L•• to M••••• S••••••
  left Oct 16, 2025, registered Nov 24, 2025 (39 days) · Affiliated broker-dealer or bank to wirehouse
• B••••••• I••••••••• S•••••••• I••• ••••• to L•• F•••••••• L••
  left Jul 19, 2023, registered Jul 19, 2023 (0 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to B••••••• I••••••••• S•••••••• I••• •••••
  left Feb 4, 2014, registered Feb 10, 2014 (6 days) · Other
• W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
  left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move

• ••• Locked
  Oct 16, 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

Wirehousederived

Years in industry

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address