DFX Intelligence
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Registered advisor
E••• A•••••••
Feed of 09/15/2026
At current firm
5 y
since Dec 18, 2020
In the industry
19 y
since Aug 7, 2007 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
6
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- J••• M••••• S••••••••• L•• wirehouse currentsince Dec 18, 2020 · Mt. Pleasant, Sc
- J••• M••••• S••••••••• I••• unclassifiedDec 14, 2007 to Oct 1, 2008 · Naperville, Il
- C•••• I••••••••• S••••••• C•••• formerAug 15, 2007 to Nov 26, 2007 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Dec 18, 2020 (4461 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• I•••left Nov 26, 2007, registered Dec 14, 2007 (18 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