C•••• W••••

S••••• W••••• A•••••••• I•••no RAUMIrvine, Cadual registrantIAPD 7338978

Certified Financial Planner

Feed of 09/14/2026

Also filed as C•••• W••••••••• P•••••• W••••

At current firm

1 y

since Jun 5, 2025

In the industry

13 y

since Oct 1, 2012 (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

S••••• W••••• A•••••••• I••• no RAUM current
since Jun 5, 2025 · Irvine, Ca
J••• M••••• S••••••••• L•• wirehouse
Nov 9, 2022 to May 18, 2025 · Irvine, Ca
V••••••• A•••••••• I••• BD affiliated
Apr 30, 2021 to Oct 11, 2022 · Scottsdale, Az

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to S••••• W••••• A•••••••• I•••
left May 18, 2025, registered Jun 5, 2025 (18 days) · Other · moved with a team
V••••••• A•••••••• I••• to J••• M••••• S••••••••• L••
left Oct 11, 2022, registered Nov 9, 2022 (29 days) · Affiliated broker-dealer or bank to wirehouse

Signals

••• Locked
May 18, 2025 · Advisor changed firm · fact
••• Locked
Oct 11, 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: No RAUM reportedderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address