DFX Intelligence
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Registered advisor
A•••••• S•••••••
Feed of 09/14/2026
Also filed as A•••••• H••• S•••••••
At current firm
1 y
since Feb 19, 2025
In the industry
17 y
since Jan 7, 2009 (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
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Feb 19, 2025 · Palm Beach Gardens, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 22, 2015 to Feb 18, 2025 · Jupiter, Fl
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jun 12, 2015 · Tequesta, Fl
- C•••• I••••••••• S••••••• C•••• formerSep 26, 2011 to Oct 1, 2012 · Jupiter, Fl
- H••• S••••••••• •••• I••• BD affiliatedJul 15, 2009 to Aug 1, 2011 · Palm Beach Gardens, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDMar 16, 2009 to Apr 30, 2009 · Ft Lauderdale, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDJan 13, 2009 to Jan 21, 2009 · Ft Lauderdale, Fl
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Feb 18, 2025, registered Feb 19, 2025 (1 days) · Wirehouse to wirehouse · moved with a team
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 12, 2015, registered Jun 22, 2015 (10 days) · Wirehouse to wirehouse · moved with a team
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- H••• S••••••••• •••• I••• to C•••• I••••••••• S••••••• C••••left Aug 1, 2011, registered Sep 26, 2011 (56 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to H••• S••••••••• •••• I•••left Apr 30, 2009, registered Jul 15, 2009 (76 days) · Other
Signals
- ••• LockedFeb 18, 2025 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address