DFX Intelligence
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Feed of 09/14/2026
Also filed as S•••• D• J••••••
At current firm
3 y
since Sep 15, 2023
In the industry
19 y
since Jun 16, 2007 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
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 Sep 15, 2023 · Tucson, Az
- W•••• F•••• A••••••• wirehouseApr 8, 2016 to Sep 15, 2023 · Palm Desert, Ca
- L•• F•••••••• L•• BD affiliatedAug 3, 2015 to Feb 29, 2016 · La Quinta, Ca
- R•••••• J•••• • A••••••••• I••• national BDMar 14, 2008 to Mar 4, 2015 · Palm Desert, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 19, 2007 to Apr 3, 2008 · Palm Desert, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Sep 15, 2023, registered Sep 15, 2023 (0 days) · channel change inside one enterprise, not a move · moved with a team
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Feb 29, 2016, registered Apr 8, 2016 (39 days) · Other
- R•••••• J•••• • A••••••••• I••• to L•• F•••••••• L••left Mar 4, 2015, registered Aug 3, 2015 (152 days) · Other
- C•••••••• G••••• M•••••• I••• to R•••••• J•••• • A••••••••• I•••left Apr 3, 2008, registered Mar 14, 2008 (-20 days) · Other
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address