DFX Intelligence
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J••••• R•••• M•••••••
As of · the IAPD feed; also filed as J••••• M••••••••• R•••• M••••••••• R•••• M•••••••
- At current firm
- 4 y
- In the industry
- 30 y
- Prior registered firms
- 5
- Signals
- 0
since Jan 26, 2022
As of · the IAPD feed; also filed as J••••• M••••••••• R•••• M••••••••• R•••• M•••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• brokerage advisory currentsince Jan 26, 2022 · Cupertino, Ca
- T• A••••••••• I••••••••• M••••••••• L•• brokerage advisoryFeb 7, 2017 to Sep 7, 2023 · Cupertino, Ca
- T• A••••••••• I••• brokerage advisoryFeb 7, 2017 to Oct 14, 2022 · Cupertino, Ca
- S•••••••• A••••••• L•• brokerage advisoryMar 1, 2004 to Sep 30, 2016 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Sep 10, 2003 · San Francisco, Ca
- P••••••••• E••••• G••••• L•• unclassifiedJul 8, 1997 to Jul 1, 2003 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Feb 7, 2017 (-2075 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to T• A••••••••• I•••left Sep 30, 2016, registered Feb 7, 2017 (130 days) · Other
- W•••• F•••• A••••••• to S•••••••• A••••••• L••left Sep 10, 2003, registered Mar 1, 2004 (173 days) · Wirehouse to affiliated broker-dealer or bank
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- Brokerage advisory programderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote