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Registered advisor

S•••• P•••••• W••••••

L•• F•••••••• L••BD affiliatedSeattle, Wa dual registrantIAPD 4705711

Feed of 09/15/2026

Also filed as S•••• W••••••

At current firm

3 y

since Apr 14, 2023

In the industry

22 y

since Dec 30, 2003 (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

L•• F•••••••• L•• BD affiliated current
since Apr 14, 2023 · San Diego, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
May 5, 2022 to Apr 18, 2023 · Seattle, Wa
F•••••••• A•••••••• I••••••••• M••••••••• former
Jul 27, 2011 to May 5, 2022 · Olympia, Wa
M•• I•••••••• S•••••••• L•• BD affiliated
Nov 17, 2006 to Aug 3, 2011 · Seattle, Wa
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 3, 2004 to Sep 12, 2006 · Bellevue, Wa

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••
left Apr 18, 2023, registered Apr 14, 2023 (-4 days) · Affiliated broker-dealer or bank to another
F•••••••• A•••••••• I••••••••• M••••••••• to A••••••••• F•••••••• S•••••••• L••
left May 5, 2022, registered May 5, 2022 (0 days) · RIA to affiliated broker-dealer or bank
M•• I•••••••• S•••••••• L•• to F•••••••• A•••••••• I••••••••• M•••••••••
left Aug 3, 2011, registered Jul 27, 2011 (-7 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• I•••••••• S•••••••• L••
left Sep 12, 2006, registered Nov 17, 2006 (66 days) · Other

Signals

S•••• P•••••• W•••••• left A••••••••• F•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2023-04-14)
Apr 18, 2023 · Advisor changed firm · fact
S•••• P•••••• W•••••• left F•••••••• A•••••••• I••••••••• M••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-05-05)
May 5, 2022 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address