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RIA Intelligence
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Registered advisor
P•••• S••••
Feed of 09/14/2026
At current firm
1 y
since Mar 31, 2025
In the industry
10 y
since May 1, 2016 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Sunnyvale, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerMay 9, 2024 to Mar 31, 2025 · Sunnyvale, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 29, 2022 to Apr 22, 2024 · San Francisco, Ca
- J••• M••••• S••••••••• L•• wirehouseDec 17, 2019 to Jun 4, 2022 · Mountain View, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 2, 2019 to Dec 3, 2019 · Portland, Or
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
- C•••••••• G••••• M•••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 22, 2024, registered May 9, 2024 (17 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••left Jun 4, 2022, registered Jun 29, 2022 (25 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Dec 3, 2019, registered Dec 17, 2019 (14 days) · Wirehouse to wirehouse · moved with a team
Signals
- P•••• S•••• left C•••••••• G••••• M•••••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-05-09)Apr 22, 2024 · Advisor changed firm · fact
- P•••• S•••• left J••• M••••• S••••••••• L•• for C•••••••• G••••• M•••••• I••• (registered 2022-06-29)Jun 4, 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
- 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