DFX Intelligence
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Feed of 09/14/2026
Also filed as G••••• M• S••••••••• M••••• S•••••
At current firm
2 y
since Jun 20, 2024
In the industry
32 y
since Jul 30, 1994 (earliest exam, job or registration)
Prior registered firms
3
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 Jun 20, 2024 · Westport, Ct
- M••••• S•••••• wirehouseJun 16, 2017 to Jun 27, 2024 · Stamford, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 7, 2003 to Jun 19, 2017 · Stamford, Ct
- U•• F•••••••• S••••••• I••• wirehouseSep 24, 1999 to Oct 15, 2003 · Stamford, Ct
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to W•••• F•••• A•••••••left Jun 27, 2024, registered Jun 20, 2024 (-7 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jun 19, 2017, registered Jun 16, 2017 (-3 days) · Wirehouse to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 15, 2003, registered Oct 7, 2003 (-8 days) · Wirehouse to wirehouse
Signals
- ••• LockedJun 27, 2024 · 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