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Registered advisor
D••••• M••••••• B•••••••••
Feed of 09/14/2026
Also filed as D••••• M••••••• Book
At current firm
15 y
since Jan 24, 2011
In the industry
25 y
since Mar 19, 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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jan 24, 2011 · San Jose, Ca
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Jan 25, 2011 · San Jose, Ca
- A• G• E•••••• • S•••• I••• unclassifiedAug 12, 2005 to Jan 1, 2008 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Jan 25, 2011, registered Jan 24, 2011 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address