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Registered advisor
C•••••••• A•••••• C•••••••
Feed of 09/14/2026
Also filed as C•••••••• C•••••••
At current firm
1 y
since Jul 17, 2025
In the industry
19 y
since Jan 12, 2007 (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, 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
- M••••• S•••••• wirehouse currentsince Jul 17, 2025 · Miami, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 12, 2019 to Jul 14, 2025 · Chicago, Il
- W•••• F•••• A••••••• wirehouseAug 16, 2016 to Sep 23, 2019 · Chicago, Il
- J••• M••••• S••••••••• L•• wirehouseMay 12, 2014 to Aug 9, 2016 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jul 14, 2025, registered Jul 17, 2025 (3 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 23, 2019, registered Oct 12, 2019 (19 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Aug 9, 2016, registered Aug 16, 2016 (7 days) · Wirehouse to wirehouse
Signals
- C•••••••• A•••••• C••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for M••••• S•••••• (registered 2025-07-17)Jul 14, 2025 · 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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address