DFX Intelligence
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Feed of 09/14/2026
At current firm
11 y
since Sep 23, 2015
In the industry
16 y
since May 6, 2010 (earliest exam, job or registration)
Prior registered firms
4
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 Sep 23, 2015 · Palo Alto, Ca
- U•• F•••••••• S••••••• I••• wirehouseOct 7, 2013 to Sep 17, 2015 · Palo Alto, Ca
- S•••••• N••••••• • C••••••• I••••••••• national BDMar 15, 2013 to Apr 5, 2013 · Walnut Creek, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 13, 2010 to Feb 21, 2012 · Cupertino, Ca
- T• A••••••••• I••• formerMay 13, 2010 to Feb 21, 2012 · Cupertino, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Sep 17, 2015, registered Sep 23, 2015 (6 days) · Wirehouse to wirehouse · moved with a team
- S•••••• N••••••• • C••••••• I••••••••• to U•• F•••••••• S••••••• I•••left Apr 5, 2013, registered Oct 7, 2013 (185 days) · Affiliated broker-dealer or bank to wirehouse
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Feb 21, 2012, registered Mar 15, 2013 (388 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 21, 2012, registered May 13, 2010 (-649 days) · channel change inside one enterprise, not a move
Signals
No dated event on this person.
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
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address