DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
E••• R•••••••
Feed of 09/15/2026
Also filed as E••• T••••• R••••••••• R••••••••• T• R•••••••
At current firm
2 y
since Jul 9, 2024
In the industry
19 y
since May 1, 2007 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Jul 9, 2024 · Fort Lauderdale, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 12, 2022 to Jun 4, 2024 · Davie, Fl
- W•••• F•••• A••••••• wirehouseAug 6, 2021 to May 5, 2022 · Fort Lauderdale, Fl
- A••••• A•• P••••••• S••••••• BD affiliatedJan 31, 2018 to Nov 13, 2020 · Palm Beach Gardens, Fl
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 2, 2009 to Dec 12, 2017 · Ft. Lauderdale, Fl
- T• A••••••••• I••• formerJul 2, 2009 to Dec 12, 2017 · Fort Lauderdale, Fl
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• A••••••• G••••• L••left Jun 4, 2024, registered Jul 9, 2024 (35 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 5, 2022, registered Aug 12, 2022 (99 days) · Wirehouse to wirehouse · moved with a team
- A••••• A•• P••••••• S••••••• to W•••• F•••• A•••••••left Nov 13, 2020, registered Aug 6, 2021 (266 days) · Affiliated broker-dealer or bank to wirehouse
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 12, 2017, registered Jul 2, 2009 (-3085 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 12, 2017, registered Jul 2, 2009 (-3085 days) · Other
Signals
- ••• LockedJun 4, 2024 · Advisor changed firm · fact
- ••• LockedMay 5, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address