DFX Intelligence
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Feed of 09/14/2026
At current firm
10 y
since Apr 12, 2016
In the industry
28 y
since Sep 4, 1998 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
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 Apr 12, 2016 · Miami, Fl
- U•• F•••••••• S••••••• I••• wirehouseJan 1, 2010 to Apr 22, 2016 · Coral Gables, Fl
- U•• I••••••••• I••• unclassifiedJul 7, 2004 to Jan 1, 2010 · Coral Gables, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 15, 1998 to Jul 12, 2004 · Miami, Fl
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Apr 22, 2016, registered Apr 12, 2016 (-10 days) · Wirehouse to wirehouse · moved with a team
- 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 Jul 12, 2004, registered Jul 7, 2004 (-5 days) · Other
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, outside business text, branch street address