DFX Intelligence
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Feed of 09/14/2026
Also filed as J•••••••• C••••••••• C••••••••• P••• C•••••
At current firm
2 y
since Jul 19, 2024
In the industry
32 y
since Mar 10, 1994 (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
- M••••• S•••••• wirehouse currentsince Jul 19, 2024 · Napa, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 14, 2017 to Jul 22, 2024 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseMar 28, 2016 to Dec 22, 2017 · Sonoma, Ca
- U•• F•••••••• S••••••• I••• wirehouseApr 15, 2010 to Nov 6, 2015 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 19, 2002 to Apr 19, 2010 · Scottsdale, Az
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jul 22, 2024, registered Jul 19, 2024 (-3 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 22, 2017, registered Dec 14, 2017 (-8 days) · Wirehouse to wirehouse
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Nov 6, 2015, registered Mar 28, 2016 (143 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Apr 19, 2010, registered Apr 15, 2010 (-4 days) · Wirehouse to wirehouse
Signals
- ••• LockedJul 22, 2024 · 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address