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Registered advisor
R••••• G••••• T•••••
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseIndian Wells, Cadual registrantIAPD 5130183
Feed of 09/14/2026
At current firm
13 y
since Apr 12, 2013
In the industry
20 y
since Sep 21, 2006 (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
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 12, 2013 · Indian Wells, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to May 1, 2013 · Palm Desert, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 2, 2009 to Jun 1, 2009 · Palm Desert, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 22, 2006 to Apr 3, 2009 · Rancho Mirage, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 1, 2013, registered Apr 12, 2013 (-19 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Apr 3, 2009, registered Apr 2, 2009 (-1 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address