DFX Intelligence
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Feed of 09/14/2026
Also filed as D•••• L• L•••••••• L• Y• L•••••••• L•••••••• L•• Y••• L••
At current firm
1 y
since Mar 31, 2025
In the industry
18 y
since Jun 27, 2008 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Fremont, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDOct 28, 2016 to Jul 13, 2018 · Dublin, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 19, 2012 to Oct 3, 2016 · Fremont, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 28, 2011 · San Mateo, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 15, 2009 to Jun 1, 2009 · San Mateo, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 8, 2008 to Feb 17, 2009 · Palo Alto, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••left Oct 3, 2016, registered Oct 28, 2016 (25 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 28, 2011, registered Nov 19, 2012 (510 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 17, 2009, registered Apr 15, 2009 (57 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address