DFX Intelligence
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Feed of 09/14/2026
At current firm
11 y
since Mar 17, 2015
In the industry
19 y
since Sep 18, 2007 (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 17, 2015 · Scottsdale, Az
- J••• M••••• S••••••••• L•• wirehouseNov 19, 2009 to May 15, 2012 · Phoenix, Az
- C••••• S••••• S••••••••• •••• L•• formerSep 19, 2007 to Oct 14, 2009 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to M••••• S••••••left May 15, 2012, registered Mar 17, 2015 (1036 days) · Wirehouse to wirehouse
- C••••• S••••• S••••••••• •••• L•• to J••• M••••• S••••••••• L••left Oct 14, 2009, registered Nov 19, 2009 (36 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address