DFX Intelligence
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Feed of 09/14/2026
Also filed as C••••• C•••••
At current firm
5 y
since Mar 29, 2021
In the industry
17 y
since Oct 1, 2008 (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 Mar 29, 2021 · Miami, Fl
- W•••• F•••• A••••••• wirehouseOct 3, 2016 to Apr 6, 2021 · Miami, Fl
- H••• S••••••••• •••• I••• BD affiliatedDec 8, 2008 to Sep 30, 2016 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M••••• S••••••left Apr 6, 2021, registered Mar 29, 2021 (-8 days) · Wirehouse to wirehouse · moved with a team
- H••• S••••••••• •••• I••• to W•••• F•••• A•••••••left Sep 30, 2016, registered Oct 3, 2016 (3 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address