DFX Intelligence
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Feed of 09/14/2026
Also filed as E•••••••• F••••••••• P••••
At current firm
10 y
since Sep 23, 2016
In the industry
24 y
since Feb 6, 2002 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
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 23, 2016 · Miami, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Sep 16, 2016 · Miami, Fl
- C••••••• I••••••••• S••••••• unclassifiedJun 29, 2006 to May 29, 2007 · Miami, Fl
- A• G• E•••••• • S•••• I••• unclassifiedJun 22, 2005 to Dec 9, 2005 · Coral Gables, Fl
- W•••• F•••• A••••••• wirehouseNov 15, 2002 to May 24, 2005 · Miami, Fl
- W•••• F•••• A••••••• wirehouseFeb 6, 2002 to Nov 6, 2002 · Miami, Fl
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Sep 16, 2016, registered Sep 23, 2016 (7 days) · Other · moved with a team
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- A• G• E•••••• • S•••• I••• to C••••••• I••••••••• S•••••••left Dec 9, 2005, registered Jun 29, 2006 (202 days) · Other
- W•••• F•••• A••••••• to A• G• E•••••• • S•••• I•••left May 24, 2005, registered Jun 22, 2005 (29 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