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RIA Intelligence
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Registered advisor
H•••••• C•••
Feed of 09/14/2026
At current firm
0 y
since Nov 25, 2025
In the industry
14 y
since Feb 1, 2012 (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
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 25, 2025 · San Jose, Ca
- P••• A••••• S••••••••• L•• BD affiliatedApr 18, 2024 to Oct 31, 2025 · Campbell, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 30, 2023 to Mar 28, 2024 · San Jose, Ca
- E•••• S••••••••• L•• BD affiliatedMay 18, 2022 to Jan 30, 2023 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- P••• A••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 31, 2025, registered Nov 25, 2025 (25 days) · Affiliated broker-dealer or bank to wirehouse
- M•• I•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••left Mar 28, 2024, registered Apr 18, 2024 (21 days) · Affiliated broker-dealer or bank to another · moved with a team
- E•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Jan 30, 2023, registered Jan 30, 2023 (0 days) · Affiliated broker-dealer or bank to another
Signals
- H•••••• C••• left P••• A••••• S••••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2025-11-25)Oct 31, 2025 · Advisor changed firm · fact
- H•••••• C••• left M•• I•••••••• S•••••••• L•• for P••• A••••• S••••••••• L•• (registered 2024-04-18)Mar 28, 2024 · Advisor changed firm · fact
- H•••••• C••• left E•••• S••••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2023-01-30)Jan 30, 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
- Wirehousederived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address