DFX Intelligence
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Feed of 09/14/2026
Also filed as M••• L••••••• P•••••••••
At current firm
2 y
since Apr 19, 2024
In the industry
18 y
since Jun 25, 2008 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Apr 19, 2024 · Orinda, Ca
- W•••• F•••• A••••••• wirehouseMay 21, 2012 to Apr 19, 2024 · Walnut Creek, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 15, 2012 · Orinda, Ca
- M••••• S•••••• • C•• L•• unclassifiedJun 26, 2008 to Jun 1, 2009 · Orinda, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Apr 19, 2024, registered Apr 19, 2024 (0 days) · channel change inside one enterprise, not a move · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left Jun 15, 2012, registered May 21, 2012 (-25 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address