DFX Intelligence
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Feed of 09/14/2026
Also filed as Y•••••• A•••••
At current firm
2 y
since Aug 9, 2024
In the industry
27 y
since Jul 29, 1999 (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 Aug 9, 2024 · Miami, Fl
- U•• F•••••••• S••••••• I••• wirehouseJan 1, 2010 to Apr 11, 2023 · Miami, Fl
- U•• I••••••••• I••• unclassifiedApr 1, 2009 to Jan 1, 2010 · Miami, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 27, 2003 to Apr 8, 2009 · Miami, Fl
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Mar 27, 2003 · Miami, Fl
- P••••••• L•• unclassifiedJul 29, 1999 to Jan 17, 2003 · Miami, Fl
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Apr 11, 2023, registered Aug 9, 2024 (486 days) · Wirehouse to wirehouse
- U•• I••••••••• I••• to U•• F•••••••• S••••••• I•••left Jan 1, 2010, registered Jan 1, 2010 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to U•• I••••••••• I•••left Apr 8, 2009, registered Apr 1, 2009 (-7 days) · Other
- C••••• S••••• S••••••••• •••• L•• to C•••••••• G••••• M•••••• I•••left Mar 27, 2003, registered Mar 27, 2003 (0 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedApr 11, 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address