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
At current firm
17 y
since Jun 1, 2009
In the industry
24 y
since Feb 15, 2002 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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 Jun 1, 2009 · Purchase, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Jun 1, 2009 · New York, Ny
- L••• M•••• W••• W•••••• I••••••••• unclassifiedNov 3, 2004 to Feb 21, 2006 · Baltimore, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 20, 2002 to Aug 11, 2004 · Washington, Dc
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L••• M•••• W••• W•••••• I•••••••••left Aug 11, 2004, registered Nov 3, 2004 (84 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address