DFX Intelligence
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Feed of 09/14/2026
Also filed as L•••• A• W••••••••• W••••••••• A••••• W••••••••
At current firm
3 y
since Sep 20, 2023
In the industry
18 y
since Jul 3, 2008 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Sep 20, 2023 · Sausalito, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMNov 18, 2010 to May 17, 2011 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 3, 2008 to Aug 30, 2010 · San Mateo, Ca
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to E••••• J••••left May 17, 2011, registered Sep 20, 2023 (4509 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••••••••• M••••• I••••••••• S•••••••••left Aug 30, 2010, registered Nov 18, 2010 (80 days) · Other
Signals
No dated event on this person.
Transition signals
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, outside business text, branch street address