DFX Intelligence
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Feed of 09/14/2026
At current firm
1 y
since Jul 22, 2025
In the industry
21 y
since Jul 26, 2005 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• L••• other currentsince Jul 22, 2025 · New York, Ny
- M••••• S•••••• wirehouseMay 18, 2011 to Jun 12, 2015 · Purchase, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 23, 2006 to May 18, 2011 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to A••••••••• L•••left Jun 12, 2015, registered Jul 22, 2025 (3693 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left May 18, 2011, registered May 18, 2011 (0 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
- Other adviserderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address