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RIA Intelligence
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Registered advisor
M•••••• C•••• C•••••••
Feed of 09/14/2026
Also filed as C•••• M C•••••••
At current firm
5 y
since Nov 6, 2020
In the industry
25 y
since Jan 12, 2001 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- O•••• W•••••• I••• BD affiliated currentsince Nov 6, 2020 · Seattle, Wa
- H•••••• T••••••• • K•••• L•• independent RIAJun 7, 2007 to Nov 18, 2020 · Bellevue, Wa
- P•••••••• I••••••••• A•••••••• I••• unclassifiedMar 27, 2006 to Dec 15, 2006 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- H•••••• T••••••• • K•••• L•• to O•••• W•••••• I•••left Nov 18, 2020, registered Nov 6, 2020 (-12 days) · corporate re-registration, not a move
- P•••••••• I••••••••• A•••••••• I••• to H•••••• T••••••• • K•••• L••left Dec 15, 2006, registered Jun 7, 2007 (174 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
- 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