DFX Intelligence
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Registered advisor
R••••••• C•••••• W•••
Feed of 09/15/2026
At current firm
3 y
since Sep 5, 2023
In the industry
28 y
since Dec 8, 1997 (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, 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 Sep 5, 2023 · Pleasanton, Ca
- E•••••• C•••••• M••••••••• L•• formerSep 18, 2015 to Sep 5, 2023 · Palo Alto, Ca
- S•••••••• A••••••• L•• national BDAug 7, 2012 to Sep 4, 2015 · Orland Park, Il
- E•••••• C•••••• M••••••••• L•• formerSep 27, 2006 to Mar 6, 2012 · Jersey City, Nj
- A••••••••• A•••••• S•••••••• I••• unclassifiedDec 10, 2003 to Aug 18, 2004 · Chicago, Il
- T••••••••• F•••••••• A•••••••• I••• unclassifiedFeb 19, 2003 to Dec 11, 2003 · Metairie, La
Moves
a registration end followed by a registration begin elsewhere
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to E•••••• C•••••• M••••••••• L••left Sep 4, 2015, registered Sep 18, 2015 (14 days) · Other
- E•••••• C•••••• M••••••••• L•• to S•••••••• A••••••• L••left Mar 6, 2012, registered Aug 7, 2012 (154 days) · Other
- A••••••••• A•••••• S•••••••• I••• to E•••••• C•••••• M••••••••• L••left Aug 18, 2004, registered Sep 27, 2006 (770 days) · Other
- T••••••••• F•••••••• A•••••••• I••• to A••••••••• A•••••• S•••••••• I•••left Dec 11, 2003, registered Dec 10, 2003 (-1 days) · Other
Signals
No dated event on this person.
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address