DFX Intelligence
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Feed of 09/15/2026
Also filed as L••• M•••• L•••••
At current firm
10 y
since Dec 23, 2015
In the industry
24 y
since May 1, 2002 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
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 Dec 23, 2015 · Roseville, Ca
- W•••• F•••• A••••••• wirehouseMar 15, 2011 to Dec 7, 2015 · Sacramento, Ca
- W•••• F•••• A••••••• wirehouseMay 28, 2008 to Jan 7, 2010 · San Diego, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to May 19, 2008 · La Jolla, Ca
- M••••• S•••••• D• I••• unclassifiedMar 27, 2006 to Apr 2, 2007 · Lajolla, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 18, 2005 to Apr 7, 2006 · La Jolla, Ca
All 7 prior registrationsShow fewer
- U•• F•••••••• S••••••• I••• wirehouseJul 7, 2004 to May 26, 2005 · Carlsbad, Ca
- U•• F•••••••• S••••••• I••• wirehouseMay 8, 2002 to Feb 3, 2004 · Carlsbad, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M••••• S••••••left Dec 7, 2015, registered Dec 23, 2015 (16 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• to W•••• F•••• A•••••••left May 19, 2008, registered May 28, 2008 (9 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to M••••• S•••••• D• I•••left Apr 7, 2006, registered Mar 27, 2006 (-11 days) · Other
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left May 26, 2005, registered May 18, 2005 (-8 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