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Registered advisor
X••••• L••
Feed of 09/15/2026
Also filed as Cassidy Liu
At current firm
4 y
since May 11, 2022
In the industry
12 y
since Jul 31, 2014 (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, S65
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- R••••••••• C•••••• M••••••••• BD affiliated currentsince May 11, 2022 · Los Angeles, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerApr 19, 2022 to Apr 26, 2022 · Palo Alto, Ca
- M••••• S•••••• wirehouseFeb 10, 2022 to May 13, 2022 · Cupertino, Ca
- W•••• F•••• A••••••• wirehouseJul 19, 2018 to Jan 10, 2022 · San Leandro, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to J••• M••••• P•••••• W••••• A••••••• L••left May 13, 2022, registered Apr 19, 2022 (-24 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- J••• M••••• P•••••• W••••• A••••••• L•• to R••••••••• C•••••• M•••••••••left Apr 26, 2022, registered May 11, 2022 (15 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to M••••• S••••••left Jan 10, 2022, registered Feb 10, 2022 (31 days) · Wirehouse to wirehouse · moved with a team
Signals
- X••••• L•• left M••••• S•••••• for J••• M••••• P•••••• W••••• A••••••• L•• (registered 2022-04-19)May 13, 2022 · Advisor changed firm · fact
- X••••• L•• left J••• M••••• P•••••• W••••• A••••••• L•• for R••••••••• C•••••• M••••••••• (registered 2022-05-11)Apr 26, 2022 · Advisor changed firm · fact
- X••••• L•• left W•••• F•••• A••••••• for M••••• S•••••• (registered 2022-02-10)Jan 10, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address