DFX Intelligence
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Feed of 09/14/2026
Also filed as R••• D••••
At current firm
2 y
since May 31, 2024
In the industry
26 y
since Aug 15, 2000 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
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 May 31, 2024 · Palm Beach, Fl
- U•• F•••••••• S••••••• I••• wirehouseOct 30, 2015 to Jun 13, 2024 · Los Angeles, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Nov 3, 2015 · El Segundo, Ca
- W•••• F•••• I••••••••• L•• unclassifiedAug 20, 2009 to Jan 3, 2011 · Los Angeles, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMay 19, 2006 to Dec 17, 2007 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Jun 13, 2024, registered May 31, 2024 (-13 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Nov 3, 2015, registered Oct 30, 2015 (-4 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedJun 13, 2024 · Advisor changed firm · fact
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address