D•••• T• K•••

• P••••••••• S••••••••• C••••••••• independent RIA current
  since Aug 19, 2011 · Carpinteria, Ca
• C••••• A•••••• N••••••• L•• former
  Aug 13, 2008 to Aug 23, 2011 · Campbell, Ca
• P•••••• P••••••• S••••••••• I••• unclassified
  Mar 2, 2005 to Aug 13, 2008 · San Jose, Ca
• A••••••••• F•••••••• S•••••••• L•• national BD
  Sep 17, 2001 to Feb 16, 2005 · San Mateo, Ca

• C••••• A•••••• N••••••• L•• to P••••••••• S••••••••• C•••••••••
  left Aug 23, 2011, registered Aug 19, 2011 (-4 days) · Other
• P•••••• P••••••• S••••••••• I••• to C••••• A•••••• N••••••• L••
  left Aug 13, 2008, registered Aug 13, 2008 (0 days) · corporate re-registration, not a move
• A••••••••• F•••••••• S•••••••• L•• to P•••••• P••••••• S••••••••• I•••
  left Feb 16, 2005, registered Mar 2, 2005 (14 days) · Other

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

Independent wealth managerderived

Years in industry

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address