DFX Intelligence
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Feed of 09/14/2026
Also filed as S••••• J• E••••••••• J• E•••••••
At current firm
4 y
since Nov 15, 2021
In the industry
20 y
since Mar 1, 2006 (earliest exam, job or registration)
Prior registered firms
1
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 Nov 15, 2021 · Westport, Ct
- U•• F•••••••• S••••••• I••• wirehouseJun 14, 2006 to Dec 9, 2021 · Westport, Ct
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Dec 9, 2021, registered Nov 15, 2021 (-24 days) · Wirehouse to wirehouse · moved with a team
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