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Registered advisor
S•••••• S• T••
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseSan Francisco, Cadual registrantIAPD 4254353
Feed of 09/14/2026
Also filed as S•••••• S• T••
At current firm
2 y
since May 17, 2024
In the industry
25 y
since Feb 16, 2001 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince May 17, 2024 · San Francisco, Ca
- J••• M••••• S••••••••• L•• wirehouseMar 8, 2024 to May 22, 2024 · San Francisco, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerAug 26, 2016 to May 23, 2024 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 9, 2005 to Aug 29, 2016 · San Francisco, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 30, 2004 to Aug 17, 2005 · San Francisco, Ca
- D••••••• B••• S••••••••• I••• no RAUMMar 16, 2001 to Apr 29, 2004 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••left May 23, 2024, registered Mar 8, 2024 (-76 days) · channel change inside one enterprise, not a move · moved with a team
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 22, 2024, registered May 17, 2024 (-5 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• P•••••• W••••• A••••••• L••left Aug 29, 2016, registered Aug 26, 2016 (-3 days) · Other · moved with a team
- M••••• S•••••• • C•• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 17, 2005, registered Sep 9, 2005 (23 days) · Other
- D••••••• B••• S••••••••• I••• to M••••• S•••••• • C•• L••left Apr 29, 2004, registered Apr 30, 2004 (1 days) · Other
Signals
- S•••••• S• T•• left J••• M••••• S••••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-05-17)May 22, 2024 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address