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Registered advisor

P•••• C•••

M••••••BD affiliatedSan Francisco, CaIA-onlyIAPD 6569142

Feed of 09/14/2026

Also filed as P•••• Wai Lok C•••

At current firm

2 y

since Apr 2, 2024

In the industry

25 y

since Nov 1, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••••• BD affiliated current
since Apr 2, 2024 · San Francisco, Ca
J••• M••••• S••••••••• L•• wirehouse
Mar 8, 2024 to Mar 27, 2024 · San Francisco, Ca
J••• M••••• P•••••• W••••• A••••••• L•• former
Apr 9, 2020 to Mar 28, 2024 · San Francisco, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 19, 2016 to Apr 1, 2020 · Palo Alto, Ca

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••
left Mar 28, 2024, registered Mar 8, 2024 (-20 days) · channel change inside one enterprise, not a move · moved with a team
J••• M••••• S••••••••• L•• to M••••••
left Mar 27, 2024, registered Apr 2, 2024 (6 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• P•••••• W••••• A••••••• L••
left Apr 1, 2020, registered Apr 9, 2020 (8 days) · Wirehouse to affiliated broker-dealer or bank

Signals

P•••• C••• left J••• M••••• S••••••••• L•• for Mariner (registered 2024-04-02)
Mar 27, 2024 · 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address