DFX Intelligence
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Feed of 09/14/2026
Also filed as V•••• L••• M••••••••• L• B••••••••• L••• B••••••••• B••••
At current firm
1 y
since Apr 28, 2025
In the industry
25 y
since May 11, 2001 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Apr 28, 2025 · Roseville, Ca
- J••• M••••• S••••••••• L•• wirehouseDec 13, 2024 to Apr 1, 2025 · Olympia, Wa
- M••••• S•••••• wirehouseFeb 4, 2020 to Oct 13, 2023 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Jan 27, 2020 · St. Louis, Mo
- A• G• E•••••• • S•••• I••• unclassifiedNov 19, 2007 to Jan 1, 2008 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Apr 1, 2025, registered Apr 28, 2025 (27 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to J••• M••••• S••••••••• L••left Oct 13, 2023, registered Dec 13, 2024 (427 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to M••••• S••••••left Jan 27, 2020, registered Feb 4, 2020 (8 days) · Wirehouse to wirehouse · moved with a team
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedApr 1, 2025 · Advisor changed firm · fact
- ••• LockedOct 13, 2023 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address