DFX Intelligence
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Feed of 09/14/2026
Also filed as C••••••• R••• G••••••••• G••••••••• N••••
At current firm
3 y
since Feb 17, 2023
In the industry
30 y
since Jul 19, 1996 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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 Feb 17, 2023 · Eugene, Or
- R•• C•••••• M••••••• L•• national BDAug 8, 2017 to Mar 8, 2023 · Eugene, Or
- M••••• S•••••• wirehouseOct 14, 2013 to Jul 25, 2017 · San Rafael, Ca
- W•••• F•••• A••••••• wirehouseMar 22, 2011 to Jun 11, 2013 · Walnut Creek, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 18, 2005 to Mar 23, 2011 · Walnut Creek, Ca
- U•• F•••••••• S••••••• I••• wirehouseJan 5, 2005 to Apr 20, 2005 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to M••••• S••••••left Mar 8, 2023, registered Feb 17, 2023 (-19 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M••••• S•••••• to R•• C•••••• M••••••• L••left Jul 25, 2017, registered Aug 8, 2017 (14 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to M••••• S••••••left Jun 11, 2013, registered Oct 14, 2013 (125 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Mar 23, 2011, registered Mar 22, 2011 (-1 days) · Wirehouse to wirehouse
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 20, 2005, registered Apr 18, 2005 (-2 days) · Wirehouse to wirehouse
Signals
- ••• LockedMar 8, 2023 · 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address