DFX Intelligence
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Feed of 09/14/2026
Also filed as R•••• D••••••••• D•••••••• E••••• D•••••••• E••••• D•••••••• E• D•••
At current firm
4 y
since Dec 8, 2021
In the industry
35 y
since Oct 19, 1990 (earliest exam, job or registration)
Prior registered firms
2
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Dec 8, 2021 · Chicago, Il
- J••• M••••• S••••••••• L•• wirehouseAug 3, 2007 to Dec 9, 2021 · Chicago, Il
- A• G• E•••••• • S•••• I••• unclassifiedNov 11, 2003 to Aug 8, 2007 · Mequon, Wi
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to M••••• S••••••left Dec 9, 2021, registered Dec 8, 2021 (-1 days) · Wirehouse to wirehouse
- A• G• E•••••• • S•••• I••• to J••• M••••• S••••••••• L••left Aug 8, 2007, registered Aug 3, 2007 (-5 days) · Other
Signals
No dated event on this person.
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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address