DFX Intelligence
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A••• H•••••• S••••••
As of · the IAPD feed
- At current firm
- 6 y
- In the industry
- 28 y
- Prior registered firms
- 3
- Signals
- 0
since Sep 2, 2020
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince Sep 2, 2020 · Oakland, Me
- R•• C•••••• M••••••• L•• national BDOct 2, 2009 to Sep 15, 2020 · Portland, Me
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 29, 2009 · Portland, Me
- C•••••••• G••••• M•••••• I••• bank affiliatedAug 24, 2004 to Jun 1, 2009 · Portland, Me
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to U•• F•••••••• S••••••• I•••left Sep 15, 2020, registered Sep 2, 2020 (-13 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to R•• C•••••• M••••••• L••left Oct 29, 2009, registered Oct 2, 2009 (-27 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (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
- Wirehousederived
- Years in industry
- 28derivedfrom 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