DFX Intelligence
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Feed of 09/14/2026
At current firm
12 y
since Jan 31, 2014
In the industry
20 y
since Jan 27, 2006 (earliest exam, job or registration)
Prior registered firms
2
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 Jan 31, 2014 · Palo Alto, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 16, 2008 to Feb 4, 2014 · Palo Alto, Ca
- A••••••••• L••• otherJan 30, 2006 to Jun 30, 2008 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Feb 4, 2014, registered Jan 31, 2014 (-4 days) · Wirehouse to wirehouse
- A••••••••• L••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 30, 2008, registered Jun 16, 2008 (-14 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The 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.
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, outside business text, branch street address