DFX Intelligence
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Feed of 09/14/2026
Also filed as M•••••• B•••••• R••••••••• B• R•••
At current firm
1 y
since Mar 31, 2025
In the industry
24 y
since Feb 11, 2002 (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
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Katy, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 10, 2022 to Mar 31, 2025 · Katy, Tx
- M••••• S•••••• wirehouseOct 6, 2009 to Jun 15, 2021 · Purchase, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 2, 2009 to Sep 28, 2009 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 7, 2002 to Jan 2, 2009 · New York, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 13, 2002 to Sep 12, 2002 · Norwalk, Ct
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 15, 2021, registered Mar 10, 2022 (268 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Sep 28, 2009, registered Oct 6, 2009 (8 days) · Wirehouse to wirehouse
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 12, 2002, registered Nov 7, 2002 (56 days) · Affiliated broker-dealer or bank to wirehouse
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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address