DFX Intelligence
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Feed of 09/14/2026
Also filed as T••••• J••••• F••••••••• J••••• F••••••••• J• F•••••
At current firm
3 y
since Sep 14, 2023
In the industry
18 y
since Jun 13, 2008 (earliest exam, job or registration)
Prior registered firms
5
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Sep 14, 2023 · Sacramento, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 21, 2018 to Sep 7, 2023 · Sacramento, Ca
- M••••• S•••••• wirehouseJan 27, 2015 to May 14, 2018 · Menlo Park, Ca
- J••• M••••• S••••••••• L•• wirehouseNov 5, 2014 to Jan 29, 2015 · San Francisco, Ca
- M••••• S•••••• wirehouseApr 26, 2013 to Nov 13, 2014 · Menlo Park, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 17, 2008 to Apr 12, 2013 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Sep 7, 2023, registered Sep 14, 2023 (7 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 14, 2018, registered May 21, 2018 (7 days) · Wirehouse to wirehouse · moved with a team
- J••• M••••• S••••••••• L•• to M••••• S••••••left Jan 29, 2015, registered Jan 27, 2015 (-2 days) · Wirehouse to wirehouse
- M••••• S•••••• to J••• M••••• S••••••••• L••left Nov 13, 2014, registered Nov 5, 2014 (-8 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Apr 12, 2013, registered Apr 26, 2013 (14 days) · Wirehouse to wirehouse
Signals
- ••• LockedSep 7, 2023 · Advisor changed firm · fact
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address