DFX Intelligence
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Feed of 09/16/2026
Also filed as A••• B••••• M•••••
At current firm
6 y
since May 7, 2020
In the industry
39 y
since Sep 8, 1987 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
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
- M••••• S•••••• wirehouse currentsince May 7, 2020 · Jericho, Ny
- U•• F•••••••• S••••••• I••• wirehouseDec 5, 2008 to May 18, 2020 · New York, Ny
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Dec 8, 2008 · New York, Ny
- M••••• S•••••• D• I••• unclassifiedDec 13, 2002 to Apr 2, 2007 · Garden City, Ny
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left May 18, 2020, registered May 7, 2020 (-11 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Dec 8, 2008, registered Dec 5, 2008 (-3 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address