DFX Intelligence
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Feed of 09/14/2026
At current firm
0 y
since Jan 20, 2026
In the industry
32 y
since Nov 24, 1993 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
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••••• S•••••• wirehouse currentsince Jan 20, 2026 · San Francisco, Ca
- L•• F•••••••• L•• BD affiliatedJul 19, 2023 to Jan 20, 2026 · San Francisco, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerJun 23, 2011 to Jul 19, 2023 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 2, 2008 to Apr 5, 2011 · San Francisco, Ca
- C•••••• S••••• • C••• I••• national BDOct 30, 2006 to Jul 9, 2008 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to M••••• S••••••left Jan 20, 2026, registered Jan 20, 2026 (0 days) · Affiliated broker-dealer or bank to wirehouse
- B••••••• I••••••••• S•••••••• I••• ••••• to L•• F•••••••• L••left Jul 19, 2023, registered Jul 19, 2023 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Apr 5, 2011, registered Jun 23, 2011 (79 days) · Other
- C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 9, 2008, registered Oct 2, 2008 (85 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedJan 20, 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address