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Registered advisor
C••••••••• D• P•••••••
Feed of 09/15/2026
Also filed as C••••••••• D• P•••••••
At current firm
5 y
since Dec 8, 2020
In the industry
24 y
since Feb 26, 2002 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- W•••• I••••••••• A•••••••• L•• other currentsince Dec 8, 2020 · Walnut Creek, Ca
- P•••••••• S••••••••• I••• BD affiliatedApr 12, 2012 to Dec 4, 2020 · Walnut Creek, Ca
- C••• F•••••••• S•••••••• L••• formerMar 28, 2011 to Mar 30, 2012 · East Palo Alto, Ca
- O•••• F•• I••• formerMay 2, 2002 to Mar 31, 2011 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- P•••••••• S••••••••• I••• to W•••• I••••••••• A•••••••• L••left Dec 4, 2020, registered Dec 8, 2020 (4 days) · Affiliated broker-dealer or bank to another
- C••• F•••••••• S•••••••• L••• to P•••••••• S••••••••• I•••left Mar 30, 2012, registered Apr 12, 2012 (13 days) · Other
- O•••• F•• I••• to C••• F•••••••• S•••••••• L•••left Mar 31, 2011, registered Mar 28, 2011 (-3 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
- Other adviserderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address