DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Feed of 09/15/2026
Also filed as S••••• L•••• B••••••••• L•••• E••••••••• L•••• B••••••••• L• B••••••
At current firm
13 y
since Apr 5, 2013
In the industry
23 y
since Apr 16, 2003 (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
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 Apr 5, 2013 · Oakland, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Feb 28, 2013 · Oakland, Ca
- C•••• I••••••••• S••••••• C•••• formerSep 6, 2011 to Oct 1, 2012 · San Leandro, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 25, 2007 to Jan 3, 2008 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 27, 2006 to Jun 25, 2007 · Bloomfield Hills, Mi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 16, 2003 to Jun 1, 2005 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to M••••• S••••••left Feb 28, 2013, registered Apr 5, 2013 (36 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Jan 3, 2008, registered Sep 6, 2011 (1342 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address