M••••••• K•••

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
  since Mar 7, 2023 · Walnut Creek, Ca
• P•••• S••••••••• L•• no RAUM
  Dec 5, 2022 to Feb 27, 2023 · Walnut Creek, Ca
• M•• I•••••••• S•••••••• L•• BD affiliated
  Aug 26, 2022 to Nov 10, 2022 · Pleasanton, Ca

• P•••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Feb 27, 2023, registered Mar 7, 2023 (8 days) · Affiliated broker-dealer or bank to wirehouse
• M•• I•••••••• S•••••••• L•• to P•••• S••••••••• L••
  left Nov 10, 2022, registered Dec 5, 2022 (25 days) · Affiliated broker-dealer or bank to another

• ••• Locked
  Feb 27, 2023 · Advisor changed firm · fact
• ••• Locked
  Nov 10, 2022 · Advisor changed firm · fact

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.

Source

IAPD individual compilation feedreportedadviserinfo.sec.gov

Firm class

Wirehousederived

Years in industry

17derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address