DFX Intelligence
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A•••••• J••••• L••••••
As of · the IAPD feed
- At current firm
- 11 y
- In the industry
- 18 y
- Prior registered firms
- 3
- Signals
- 0
since Aug 31, 2015
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Aug 31, 2015 · Gainesville, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jul 27, 2015 · Vienna, Va
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 13, 2008 to Oct 23, 2009 · Mclean, Va
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 26, 2008 to Sep 30, 2008 · Vienna, Va
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Jul 27, 2015, registered Aug 31, 2015 (35 days) · Wirehouse to affiliated broker-dealer or bank
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Sep 30, 2008, registered Oct 13, 2008 (13 days) · Other
Signals
No dated event on this person.
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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote