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115 Broadway 5Th Floor, New York, NY 10006 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2026-08-31 |
| CO | RA | APPROVED | 2026-08-25 |
| CA | RA | APPROVED | 2026-08-20 |
| NY | RA | APPROVED | 2026-08-20 |
| TX | RA | APPROVED | 2026-08-18 |
Branch Locations
115 Broadway 5Th Floor, New York, NY 10006 • United States
San Francisco, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Osterweis Capital | San Francisco | CA | 07/2013 | 07/2019 |
| Quasar Distibutors, Llc | Milwaukee | WI | 10/2013 | 07/2019 |
| Transatlantique Private Wealth Llc | San Francisco | CA | 07/2019 | 08/2026 |
| Compound Planning, Inc. | New York | NY | 08/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-07-06 |
| S63 | Uniform Securities Agent State Law Examination | 2005-10-26 |
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