DFX Intelligence
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Feed of 09/14/2026
Also filed as K••••••• A•• E••••••••• A•• A••••••••• A••••••••• A••••••••• A••••••••• A• E••••••••• E••••••
At current firm
1 y
since Sep 30, 2024
In the industry
10 y
since Jan 1, 2016 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Sep 30, 2024 · St. Louis, Mo
- J••• M••••• S••••••••• L•• wirehouseMar 9, 2023 to Sep 20, 2024 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 13, 2018 to Mar 16, 2021 · Concord, Ca
- U•• F•••••••• S••••••• I••• wirehouseMay 17, 2018 to Jul 6, 2018 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to E••••• J••••left Sep 20, 2024, registered Sep 30, 2024 (10 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Mar 16, 2021, registered Mar 9, 2023 (723 days) · Wirehouse to wirehouse
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 6, 2018, registered Aug 13, 2018 (38 days) · Wirehouse to wirehouse
Signals
- ••• LockedSep 20, 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address