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RIA Intelligence
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Registered advisor
A••••• M•••••• J••••
Feed of 09/14/2026
At current firm
10 y
since Nov 13, 2015
In the industry
25 y
since Jun 22, 2001 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Nov 13, 2015 · Los Angeles, Ca
- C••••• S••••• S••••••••• •••• L•• formerJun 22, 2011 to Dec 8, 2015 · San Diego, Ca
- A••••••••• L••• otherNov 14, 2006 to May 26, 2011 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••••• S••••• S••••••••• •••• L•• to M••••• S••••••left Dec 8, 2015, registered Nov 13, 2015 (-25 days) · Other · moved with a team
- A••••••••• L••• to C••••• S••••• S••••••••• •••• L••left May 26, 2011, registered Jun 22, 2011 (27 days) · Other
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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address