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RIA Intelligence
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Registered advisor
D••••• P••• S••••••
Feed of 09/14/2026
Also filed as D••••• S••••••
At current firm
1 y
since Jan 1, 2025
In the industry
19 y
since Aug 3, 2007 (earliest exam, job or registration)
Prior registered firms
3
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- D•••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jan 1, 2025 · San Jose, Ca
- F•••• A••••• A••••••• S•••••••• I••• formerJul 2, 2012 to Dec 21, 2015 · San Jose, Ca
- F•••• A••••• S••••••••• I••• formerFeb 4, 2010 to Jul 2, 2012 · San Diego, Ca
- M•• F•••••••• S•••••••• I••• formerOct 8, 2007 to Feb 5, 2010 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- F•••• A••••• A••••••• S•••••••• I••• to D•••••••• A••••••• S•••••••• L••left Dec 21, 2015, registered Jan 1, 2025 (3299 days) · Other · moved with a team
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to F•••• A••••• S••••••••• I•••left Feb 5, 2010, registered Feb 4, 2010 (-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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address