DFX Intelligence
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Feed of 09/14/2026
Also filed as R••• B•••••••
At current firm
17 y
since Jun 1, 2009
In the industry
32 y
since Aug 31, 1994 (earliest exam, job or registration)
Prior registered firms
2
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Jun 1, 2009 · Orinda, Ca
- M••••• S•••••• • C•• L•• unclassifiedMay 5, 2008 to Jun 1, 2009 · Orinda, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 8, 2001 to May 20, 2008 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to M••••• S•••••• • C•• L••left May 20, 2008, registered May 5, 2008 (-15 days) · Other
Signals
No dated event on this person.
Transition signals
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