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RIA Intelligence
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Registered advisor
T•• P••••• C•••
Certified Financial Planner
Feed of 09/15/2026
Also filed as Tommy P••••• C•••
At current firm
14 y
since Mar 8, 2012
In the industry
24 y
since Feb 1, 2002 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- H••• W••••• M••••••••• independent RIA currentsince Mar 8, 2012 · Sunnyvale, Ca
- H••• W••••• M••••••••• independent RIASep 17, 2009 to Dec 31, 2011 · Sunnyvale, Ca
- H••••• F•••••••• unclassifiedMar 5, 2004 to Jul 3, 2007 · Los Altos, Ca
Moves
a registration end followed by a registration begin elsewhere
- H••••• F•••••••• to H••• W••••• M•••••••••left Jul 3, 2007, registered Sep 17, 2009 (807 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address