DFX Intelligence
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Feed of 09/14/2026
Also filed as N•• T•••••
At current firm
3 y
since Sep 30, 2022
In the industry
31 y
since Nov 21, 1994 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
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 Sep 30, 2022 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 29, 2015 to Oct 3, 2022 · New York, Ny
- W•••• F•••• A••••••• wirehouseSep 30, 2008 to Jan 30, 2015 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseApr 24, 1995 to Oct 14, 2008 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Oct 3, 2022, registered Sep 30, 2022 (-3 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 30, 2015, registered Jan 29, 2015 (-1 days) · Wirehouse to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Oct 14, 2008, registered Sep 30, 2008 (-14 days) · Wirehouse to wirehouse
Signals
- ••• LockedOct 3, 2022 · 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address