DFX Intelligence
RIA Intelligence
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Registered advisor
S••••• P••• K•••••
Feed of 09/14/2026
At current firm
0 y
since Jun 4, 2026
In the industry
37 y
since Jan 6, 1989 (earliest exam, job or registration)
Prior registered firms
4
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 4, 2026 · Monterey, Ca
- M••••• S•••••• wirehouseOct 6, 2014 to Jun 8, 2026 · Monterey, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 27, 2007 to Oct 6, 2014 · Monterey, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jul 31, 2007 · Monterey, Ca
- M••••• S•••••• D• I••• unclassifiedJan 19, 2006 to Apr 2, 2007 · Wellesley, Ma
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 8, 2026, registered Jun 4, 2026 (-4 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Oct 6, 2014, registered Oct 6, 2014 (0 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 31, 2007, registered Jul 27, 2007 (-4 days) · Other
- 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
- S••••• P••• K••••• left M••••• S•••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2026-06-04)Jun 8, 2026 · Advisor changed firm · fact
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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address