RIA Intelligence

• S•••••••• A••••••• L•• national BD current
  since Mar 31, 2025 · Fullerton, Ca
• F••••••• P••••••• A•• W•••••••• A••••••• former
  Jul 13, 2018 to Mar 31, 2025 · Boston, Ma
• S•••••••• A••••••• L•• national BD
  Feb 11, 2011 to Jul 13, 2018 · Brea, Ca
• C•••••• S••••• • C••• I••• national BD
  Aug 31, 2004 to Aug 9, 2010 · Torrance, Ca
• C•••••• S••••• • C••• I••• national BD
  Sep 25, 2000 to Apr 7, 2004 · El Segundo, Ca

• F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
  left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
• S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
  left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
• C•••••• S••••• • C••• I••• to S•••••••• A••••••• L••
  left Aug 9, 2010, registered Feb 11, 2011 (186 days) · Affiliated broker-dealer or bank to another

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

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address