DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Feed of 09/14/2026
Also filed as T••• L••••••••• D• L••••••••• D•••••• L•••••
At current firm
9 y
since Sep 19, 2017
In the industry
21 y
since Apr 21, 2005 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
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 Sep 19, 2017 · Baltimore, Md
- S•••••••• I••••••••• M••••••••• formerApr 7, 2017 to Jul 11, 2017 · Saint Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 22, 2011 to Oct 28, 2013 · Lutherville, Md
- T• A••••••••• I••• formerDec 22, 2011 to Oct 28, 2013 · Towson, Md
- M•• F•••••••• S•••••••• I••• formerAug 26, 2010 to Feb 15, 2011 · Elkridge, Md
- S••••••• I••••••••• S•••••••• I••• formerApr 6, 2009 to Mar 5, 2010 · Glen Burnie, Md
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• I••••••••• M••••••••• to M••••• S••••••left Jul 11, 2017, registered Sep 19, 2017 (70 days) · Other
- T• A••••••••• I••• to S•••••••• I••••••••• M•••••••••left Oct 28, 2013, registered Apr 7, 2017 (1257 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Oct 28, 2013, registered Dec 22, 2011 (-676 days) · channel change inside one enterprise, not a move
- M•• F•••••••• S•••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 15, 2011, registered Dec 22, 2011 (310 days) · Other
- S••••••• I••••••••• S•••••••• I••• to M•• F•••••••• S•••••••• I•••left Mar 5, 2010, registered Aug 26, 2010 (174 days) · Other
Signals
No dated event on this person.
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address