N•••••• J•••••• G•••••• L•••

• S•••••••• A••••••• L•• national BD current
  since Mar 31, 2025 · San Diego, Ca
• F••••••• P••••••• A•• W•••••••• A••••••• former
  Oct 31, 2022 to Mar 31, 2025 · Palo Alto, Ca
• M••••• S•••••• wirehouse
  Sep 25, 2020 to Jul 8, 2022 · Oakland, Ca
• T• A••••••••• I••••••••• M••••••••• L•• former
  Apr 25, 2019 to Sep 10, 2019 · Oakland, Ca
• T• A••••••••• I••• former
  Apr 25, 2019 to Sep 10, 2019 · Oakland, Ca
• C••• F•••••••• S•••••••• L••• former
  Oct 26, 2016 to Nov 16, 2018 · Dublin, Ca

• F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
  left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
• M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••
  left Jul 8, 2022, registered Oct 31, 2022 (115 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• T• A••••••••• I••••••••• M••••••••• L•• to M••••• S••••••
  left Sep 10, 2019, registered Sep 25, 2020 (381 days) · RIA to wirehouse
• T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
  left Sep 10, 2019, registered Apr 25, 2019 (-138 days) · Other · moved with a team
• C••• F•••••••• S•••••••• L••• to T• A••••••••• I•••
  left Nov 16, 2018, registered Apr 25, 2019 (160 days) · Other

• ••• Locked
  Jul 8, 2022 · 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

National broker-dealer RIAderived

Years in industry

13derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address