DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Feed of 09/14/2026
At current firm
8 y
since Oct 18, 2017
In the industry
42 y
since Aug 22, 1984 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Oct 18, 2017 · Walnut Creek, Ca
- U•• F•••••••• S••••••• I••• wirehouseFeb 24, 2006 to Oct 27, 2017 · Walnut Creek, Ca
- M••••• S•••••• D• I••• unclassifiedJul 8, 1997 to Feb 27, 2006 · Berkeley, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Oct 27, 2017, registered Oct 18, 2017 (-9 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Feb 27, 2006, registered Feb 24, 2006 (-3 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address