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Registered advisor
J••••••• Y•••• F••••••••
Feed of 09/19/2026
Also filed as J••••••• Y•••• F••••••••
At current firm
1 y
since Mar 31, 2025
In the industry
10 y
since Feb 1, 2016 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Lake Forest, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 14, 2024 to Mar 31, 2025 · Mission Viejo, Ca
- M••••• S•••••• wirehouseMar 16, 2023 to Sep 12, 2023 · Sandy, Ut
- E•••••• C•••••• M••••••••• L•• formerFeb 19, 2021 to Sep 5, 2023 · Sandy, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 6, 2019 to Jan 29, 2021 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 8, 2018 to Jan 17, 2019 · Palo Alto, Ca
- E••••• J•••• national BDNov 21, 2017 to Jul 3, 2018 · Fremont, Ca
- F••••• I••••••••• independent RIAOct 7, 2016 to Oct 23, 2017 · Woodside, Ca
Moves
a registration end followed by a registration begin elsewhere
- 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 Sep 12, 2023, registered Feb 14, 2024 (155 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Mar 16, 2023 (-173 days) · corporate re-registration, not a move
- F••••••• P••••••• A•• W•••••••• A••••••• to E•••••• C•••••• M••••••••• L••left Jan 29, 2021, registered Feb 19, 2021 (21 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 17, 2019, registered Jun 6, 2019 (140 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 3, 2018, registered Oct 8, 2018 (97 days) · Affiliated broker-dealer or bank to wirehouse
- F••••• I••••••••• to E••••• J••••left Oct 23, 2017, registered Nov 21, 2017 (29 days) · Other
Signals
- J••••••• Y•••• F•••••••• left M••••• S•••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-02-14)Sep 12, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address