DFX Intelligence
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Feed of 09/14/2026
At current firm
3 y
since Jun 6, 2023
In the industry
32 y
since Nov 3, 1993 (earliest exam, job or registration)
Prior registered firms
1
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••••• S•••••• wirehouse currentsince Jun 6, 2023 · South Jordan, Ut
- E•••••• C•••••• M••••••••• L•• formerJul 10, 2023 to Sep 5, 2023 · Arlington, Va
Moves
a registration end followed by a registration begin elsewhere
- E•••••• C•••••• M••••••••• L•• to no registered destinationleft Sep 5, 2023 · Departure, no registered destination
Signals
- ••• LockedSep 5, 2023 · Advisor departure · 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