DFX Intelligence
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Feed of 09/14/2026
Also filed as P•• L••••••••• T• L••••••••• T••••• L••••••••• L••••••
At current firm
4 y
since Oct 8, 2021
In the industry
20 y
since Apr 28, 2006 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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 Oct 8, 2021 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 30, 2012 to Oct 11, 2021 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedJan 29, 2010 to Sep 9, 2011 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 1, 2008 to Dec 17, 2009 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Oct 11, 2021, registered Oct 8, 2021 (-3 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- H••• S••••••••• •••• I••• to C•••••••• G••••• M•••••• I•••left Sep 9, 2011, registered Jan 30, 2012 (143 days) · Other
- C•••••••• G••••• M•••••• I••• to H••• S••••••••• •••• I•••left Dec 17, 2009, registered Jan 29, 2010 (43 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