A••• S••••••

• W•••• F•••• A••••••• wirehouse current
  since Oct 5, 2023 · Goleta, Ca
• J••• M••••• S••••••••• L•• wirehouse
  Oct 1, 2012 to Oct 6, 2023 · Goleta, Ca
• C•••• I••••••••• S••••••• C•••• former
  Oct 5, 2011 to Oct 1, 2012 · Goleta, Ca
• W•••• F•••• A••••••• wirehouse
  Apr 5, 2010 to Sep 29, 2011 · Santa Barbara, Ca

• J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
  left Oct 6, 2023, registered Oct 5, 2023 (-1 days) · Wirehouse to wirehouse · moved with a team
• C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
  left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to C•••• I••••••••• S••••••• C••••
  left Sep 29, 2011, registered Oct 5, 2011 (6 days) · Other

• ••• Locked
  Oct 6, 2023 · 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

Wirehousederived

Years in industry

16derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address