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Registered advisor
D•••• A•••••••• T•••••
Feed of 09/14/2026
Also filed as D•••• A T•••••
At current firm
16 y
since Oct 23, 2009
In the industry
23 y
since May 22, 2003 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 23, 2009 · Roseville, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedApr 20, 2006 to Oct 23, 2009 · Loomis, Ca
- C••••••• I••••••••• S••••••• unclassifiedApr 12, 2004 to Apr 24, 2006 · Sacramento, Ca
- W••• I••••••••• I••• unclassifiedJan 15, 2004 to Apr 5, 2004 · Sacramento, Ca
- M••••• S•••••• D• I••• unclassifiedMay 27, 2003 to Jan 5, 2004 · Sacramento, Ca
Moves
a registration end followed by a registration begin elsewhere
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- C••••••• I••••••••• S••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Apr 24, 2006, registered Apr 20, 2006 (-4 days) · Other
- W••• I••••••••• I••• to C••••••• I••••••••• S•••••••left Apr 5, 2004, registered Apr 12, 2004 (7 days) · Other
- M••••• S•••••• D• I••• to W••• I••••••••• I•••left Jan 5, 2004, registered Jan 15, 2004 (10 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address