DFX Intelligence
RIA Intelligence
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Feed of 09/14/2026
At current firm
11 y
since Dec 15, 2014
In the industry
19 y
since Mar 16, 2007 (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
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 Dec 15, 2014 · Menlo Park, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 7, 2011 to Mar 22, 2013 · Fremont, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJul 14, 2009 to Jun 18, 2010 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 19, 2007 to Jan 29, 2009 · Sacramento, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Mar 22, 2013, registered Dec 15, 2014 (633 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 18, 2010, registered Oct 7, 2011 (476 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• I••••••••• L••left Jan 29, 2009, registered Jul 14, 2009 (166 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