DFX Intelligence
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Feed of 09/14/2026
Also filed as C•••••••• Y•••
At current firm
4 y
since Jan 10, 2022
In the industry
25 y
since Jan 18, 2001 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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 Jan 10, 2022 · Palo Alto, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 24, 2002 to Jan 10, 2022 · San Mateo, Ca
- M••••• S•••••• D• I••• unclassifiedApr 4, 2001 to May 28, 2002 · San Mateo, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jan 10, 2022, registered Jan 10, 2022 (0 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 28, 2002, registered May 24, 2002 (-4 days) · Other
Signals
- ••• LockedJan 10, 2022 · 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address