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RIA Intelligence
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Registered advisor
C•••• M•••••• F•••
Certified Financial Planner
Feed of 09/14/2026
Also filed as C•••• F•••
At current firm
7 y
since Nov 1, 2018
In the industry
20 y
since Sep 26, 2005 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••• F•••••••• E•••••• independent RIA currentsince Nov 1, 2018 · Anaheim, Ca
- E•••••• F•••••••• S•••••••• L•• formerNov 9, 2015 to Nov 1, 2018 · Costa Mesa, Ca
- S•••••••• A••••••• L•• national BDJun 28, 2013 to Nov 16, 2015 · Mission Viejo, Ca
- N••••••••• I••••••••• A•••••••• L•• BD affiliatedJun 4, 2007 to Jun 3, 2013 · Columbus, Oh
Moves
a registration end followed by a registration begin elsewhere
- E•••••• F•••••••• S•••••••• L•• to E•••••• F•••••••• E••••••left Nov 1, 2018, registered Nov 1, 2018 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to E•••••• F•••••••• S•••••••• L••left Nov 16, 2015, registered Nov 9, 2015 (-7 days) · Other
- N••••••••• I••••••••• A•••••••• L•• to S•••••••• A••••••• L••left Jun 3, 2013, registered Jun 28, 2013 (25 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address