J••••• Y•••

• O•••• W•••••• I••• BD affiliated current
  since Jan 24, 2025 · Richmond, Ca
• O•••• F•• I••• former
  Jul 15, 2015 to Jan 24, 2025 · San Ramon, Ca
• L•• F•••••••• L•• BD affiliated
  May 31, 2013 to Jul 16, 2015 · San Pablo, Ca
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Sep 22, 2011 to May 24, 2013 · Menlo Park, Ca

• O•••• F•• I••• to O•••• W•••••• I•••
  left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
• L•• F•••••••• L•• to O•••• F•• I•••
  left Jul 16, 2015, registered Jul 15, 2015 (-1 days) · Other
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••
  left May 24, 2013, registered May 31, 2013 (7 days) · Other

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

Broker-dealer affiliated wealth managerderived

Years in industry

15derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address