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RIA Intelligence
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Feed of 09/14/2026
Also filed as S•••••• J•••••••
At current firm
4 y
since May 20, 2022
In the industry
22 y
since Feb 1, 2004 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- C••• L•• BD affiliated currentsince May 20, 2022 · Irvine, Ca
- T••••••• I••••••••• M••••••••• I••• BD affiliatedJan 11, 2022 to Mar 22, 2022 · Scottsdale, Az
Moves
a registration end followed by a registration begin elsewhere
- T••••••• I••••••••• M••••••••• I••• to C••• L••left Mar 22, 2022, registered May 20, 2022 (59 days) · Affiliated broker-dealer or bank to another
Signals
- S•••••• K••• J••••••• left T••••••• I••••••••• M••••••••• I••• for C••• L•• (registered 2022-05-20)Mar 22, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address