DFX Intelligence
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C••••••• A•••• S••••
As of · the IAPD feed; also filed as C••••••• A•••• B••••••••• A•••• I••••••••• A•••• B••••
- At current firm
- 2 y
- In the industry
- 20 y
- Prior registered firms
- 2
- Signals
- 1
since Sep 24, 2024
As of · the IAPD feed; also filed as C••••••• A•••• B••••••••• A•••• I••••••••• A•••• B••••
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Sep 24, 2024 · Hermitage, Pa
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 3, 2024 · Newport Beach, Ca
- M••••• S•••••• • C•• L•• unclassifiedMay 28, 2008 to Jun 1, 2009 · Newport Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to W•••• F•••• A•••••••left Oct 3, 2024, registered Sep 24, 2024 (-9 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedOct 3, 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.
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote