A••••• V•••• W•••••

• G••••• R••••••••• P••••••• L•• institutional current
  since Jan 23, 2025 · Pasadena, Ca
• H•• I••••••••• P•••••••• L•• independent RIA current
  since Dec 19, 2024 · Pasadena, Ca
• R•• C•••••• M••••••• L•• national BD
  Dec 16, 2014 to Jul 27, 2022 · Pasadena, Ca
• M••••• S•••••• wirehouse
  Jun 16, 2011 to Dec 17, 2014 · Los Angeles, Ca

• R•• C•••••• M••••••• L•• to H•• I••••••••• P•••••••• L••
  left Jul 27, 2022, registered Dec 19, 2024 (876 days) · Affiliated broker-dealer or bank to independent RIA
• M••••• S•••••• to R•• C•••••• M••••••• L••
  left Dec 17, 2014, registered Dec 16, 2014 (-1 days) · Wirehouse to affiliated broker-dealer or bank

• ••• Locked
  Jul 27, 2022 · Advisor changed firm · fact

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.

Source

IAPD individual compilation feedreportedadviserinfo.sec.gov

Firm class

Institutional managerderived

Years in industry

15derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address