DFX Intelligence
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Feed of 09/14/2026
Also filed as A••• M• B••••••••• L••••••••• M• B••••••••• L••••••
At current firm
6 y
since Mar 2, 2020
In the industry
33 y
since Nov 2, 1992 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Mar 2, 2020 · New York, Ny
- W•••• F•••• A••••••• wirehouseMay 27, 2016 to Apr 12, 2018 · Lake Forest, Il
- J••• M••••• P•••••• W••••• A••••••• L•• formerSep 18, 2014 to Jan 4, 2016 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 5, 2014 to Sep 12, 2014 · San Francisco, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 23, 2014 · Purchase, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 19, 2006 to Jun 1, 2009 · San Francisco, Ca
- U•• F•••••••• S••••••• I••• wirehouseApr 21, 2005 to Dec 5, 2006 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• P•••••• W••••• A••••••• L•• to W•••• F•••• A•••••••left Jan 4, 2016, registered May 27, 2016 (144 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• P•••••• W••••• A••••••• L••left Sep 12, 2014, registered Sep 18, 2014 (6 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 23, 2014, registered Feb 5, 2014 (13 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Dec 5, 2006, registered Dec 19, 2006 (14 days) · Other
Signals
No dated event on this person.
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
- Wirehousederived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address