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Registered advisor
C•••••••• A•••••
Feed of 09/15/2026
At current firm
0 y
since Jan 6, 2026
In the industry
21 y
since Sep 1, 2005 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jan 6, 2026 · Sacramento, Ca
- A••••••••• W••••• M••••••••• I••• formerMar 4, 2022 to Nov 1, 2024 · West Henrietta, Ny
- U••• B•••••• I••••••••• I••• formerMay 30, 2013 to Nov 12, 2021 · Colfax, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jun 4, 2013 · Santa Rosa, Ca
- W•••• F•••• I••••••••• L•• unclassifiedApr 27, 2010 to Jan 3, 2011 · Yuba City, Ca
- W•••• F•••• A••••••• wirehouseJun 1, 2007 to May 10, 2010 · Gold River, Ca
- W•••• F•••• I••••••••• L•• unclassifiedSep 5, 2005 to May 7, 2007 · Sacramento, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• W••••• M••••••••• I••• to L•• F•••••••• L••left Nov 1, 2024, registered Jan 6, 2026 (431 days) · Other
- U••• B•••••• I••••••••• I••• to A••••••••• W••••• M••••••••• I•••left Nov 12, 2021, registered Mar 4, 2022 (112 days) · Other
- W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••left Jun 4, 2013, registered May 30, 2013 (-5 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to W•••• F•••• I••••••••• L••left May 10, 2010, registered Apr 27, 2010 (-13 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left May 7, 2007, registered Jun 1, 2007 (25 days) · Other
Signals
- C•••••••• A••••• left A••••••••• W••••• M••••••••• I••• for L•• F•••••••• L•• (registered 2026-01-06)Nov 1, 2024 · 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address