C•••• R•••••• O•••••

W•••• F•••• A•••••••wirehouseSan Francisco, Cadual registrantIAPD 4310903

Feed of 09/14/2026

Also filed as C•••• R••••••

At current firm

3 y

since Mar 28, 2023

In the industry

16 y

since Oct 26, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Mar 28, 2023 · San Francisco, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Oct 31, 2019 to Apr 4, 2023 · Miami, Fl
U••• B•••••• I••••••••• I••• former
May 4, 2015 to Sep 19, 2019 · San Francisco, Ca
C••••• A••••••• L•• former
Mar 30, 2015 to Apr 27, 2015 · San Jose, Ca
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Apr 1, 2015 · Santa Clara, Ca
W•••• F•••• I••••••••• L•• unclassified
Aug 10, 2010 to Jan 3, 2011 · Santa Clara, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Nov 4, 2009 to Aug 12, 2010 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••
left Apr 4, 2023, registered Mar 28, 2023 (-7 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
U••• B•••••• I••••••••• I••• to C•••••••• G••••• M•••••• I•••
left Sep 19, 2019, registered Oct 31, 2019 (42 days) · Affiliated broker-dealer or bank to another
C••••• A••••••• L•• to U••• B•••••• I••••••••• I•••
left Apr 27, 2015, registered May 4, 2015 (7 days) · Other
W•••• F•••• A••••••• to C••••• A••••••• L••
left Apr 1, 2015, registered Mar 30, 2015 (-2 days) · Other
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
C•••••••• G••••• M•••••• I••• to W•••• F•••• I••••••••• L••
left Aug 12, 2010, registered Aug 10, 2010 (-2 days) · Other

Signals

C•••• R•••••• O••••• left C•••••••• G••••• M•••••• I••• for W•••• F•••• A••••••• (registered 2023-03-28)
Apr 4, 2023 · 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address