DFX Intelligence
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Feed of 09/14/2026
Also filed as J•••• L••• T••••••••• L• T••••••••• L••• M••••••
At current firm
0 y
since May 13, 2026
In the industry
16 y
since Jul 15, 2010 (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, S65
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince May 13, 2026 · Naples, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 13, 2022 to May 8, 2026 · Naples, Fl
- J••• M••••• S••••••••• L•• wirehouseSep 26, 2017 to Jun 14, 2022 · Naples, Fl
- M••••• S•••••• wirehouseDec 16, 2016 to Sep 25, 2017 · Naples, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 16, 2015 to Dec 14, 2016 · Naples, Fl
- M••••• S•••••• wirehouseJan 30, 2013 to May 29, 2015 · Naples, Fl
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left May 8, 2026, registered May 13, 2026 (5 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 14, 2022, registered Jun 13, 2022 (-1 days) · Wirehouse to wirehouse
- M••••• S•••••• to J••• M••••• S••••••••• L••left Sep 25, 2017, registered Sep 26, 2017 (1 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Dec 14, 2016, registered Dec 16, 2016 (2 days) · Wirehouse to wirehouse
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 29, 2015, registered Jun 16, 2015 (18 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedMay 8, 2026 · Advisor changed firm · fact
- ••• LockedJun 14, 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address