M••• T• P•••

• C•••••••• G••••• M•••••• I••• BD affiliated current
  since Jul 5, 2022 · Pasadena, Ca
• J••• M••••• S••••••••• L•• wirehouse
  Oct 6, 2016 to Jul 6, 2022 · Santa Monica, Ca
• T• A••••••••• I••••••••• M••••••••• L•• former
  Apr 24, 2006 to Oct 5, 2016 · Santa Monica, Ca
• T• A••••••••• I••• former
  Mar 31, 2004 to Oct 5, 2016 · San Monica, Ca
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Jan 6, 2004 to Mar 25, 2004 · Pasadena, Ca

• J••• M••••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••
  left Jul 6, 2022, registered Jul 5, 2022 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• T• A••••••••• I••••••••• M••••••••• L•• to J••• M••••• S••••••••• L••
  left Oct 5, 2016, registered Oct 6, 2016 (1 days) · Other
• T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
  left Oct 5, 2016, registered Apr 24, 2006 (-3817 days) · channel change inside one enterprise, not a move · moved with a team
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••
  left Mar 25, 2004, registered Mar 31, 2004 (6 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)

• ••• Locked
  Jul 6, 2022 · 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

Broker-dealer affiliated wealth managerderived

Years in industry

22derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address