DFX Intelligence
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Feed of 09/14/2026
Also filed as A••••• D•••• M••••••••• M••••••
At current firm
4 y
since Sep 19, 2022
In the industry
23 y
since Jan 28, 2003 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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 Sep 19, 2022 · Scottsdale, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 4, 2019 to Sep 6, 2022 · Chandler, Az
- B••• S••••••••• I••• no RAUMMay 10, 2019 to Jun 5, 2019 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 15, 2016 to May 10, 2019 · Phoenix, Az
- C•••••• S••••• • C••• I••• national BDAug 20, 2012 to Sep 21, 2015 · Phoenix, Az
- S•••••••• F••••••••• I••• formerOct 31, 2005 to Jul 23, 2012 · Phoenix, Az
- S••••••••• S••••••••• I••• unclassifiedSep 27, 2004 to Oct 31, 2005 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Sep 6, 2022, registered Sep 19, 2022 (13 days) · Wirehouse to wirehouse · moved with a team
- B••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 5, 2019, registered Jun 4, 2019 (-1 days) · channel change inside one enterprise, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• S••••••••• I•••left May 10, 2019, registered May 10, 2019 (0 days) · channel change inside one enterprise, not a move · moved with a team
- C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 21, 2015, registered Mar 15, 2016 (176 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• F••••••••• I••• to C•••••• S••••• • C••• I•••left Jul 23, 2012, registered Aug 20, 2012 (28 days) · Other
- S••••••••• S••••••••• I••• to S•••••••• F••••••••• I•••left Oct 31, 2005, registered Oct 31, 2005 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedSep 6, 2022 · 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address