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RIA Intelligence
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Registered advisor
P••••• A••••• S••••••
Feed of 09/15/2026
Also filed as P••••• A••••• S••••••
At current firm
2 y
since Nov 3, 2023
In the industry
10 y
since Apr 18, 2016 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
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
- F•••• T•••• S••••••••• I••• BD affiliated currentsince Jul 8, 2026 · Brea, Ca
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 3, 2023 · Los Angeles, Ca
- C••••••• S••••••••• formerSep 13, 2016 to Nov 3, 2023 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseApr 18, 2016 to Sep 15, 2016 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••••••• S••••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 3, 2023, registered Nov 3, 2023 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to C••••••• S•••••••••left Sep 15, 2016, registered Sep 13, 2016 (-2 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address