DFX Intelligence
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Feed of 09/14/2026
Also filed as P••• W• T••••••• W•••••• T••••••• T••
At current firm
2 y
since Nov 16, 2023
In the industry
36 y
since Sep 19, 1990 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Nov 16, 2023 · Park City, Ut
- L•• F•••••••• L•• BD affiliatedJun 27, 2014 to Nov 29, 2023 · Park City, Ut
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jun 30, 2014 · Park City, Ut
- W•••• F•••• I••••••••• L•• unclassifiedFeb 7, 2005 to Jan 3, 2011 · Park City, Ut
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 1, 2000 to Apr 22, 2003 · Chagrin Falls, Oh
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Nov 29, 2023, registered Nov 16, 2023 (-13 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jun 30, 2014, registered Jun 27, 2014 (-3 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• I••••••••• L••left Apr 22, 2003, registered Feb 7, 2005 (657 days) · Other
Signals
- ••• LockedNov 29, 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address