DFX Intelligence
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Feed of 09/14/2026
Also filed as A••• J• S••••••••• S•••••
At current firm
0 y
since Apr 1, 2026
In the industry
17 y
since Oct 1, 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
S63, 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 1, 2026 · Charleston, Sc
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 18, 2009 to Dec 31, 2020 · Philadelphia, Pa
- T• A••••••••• I••• formerNov 18, 2009 to Jan 11, 2021 · Philadelphia, Pa
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to W•••• F•••• A•••••••left Jan 11, 2021, registered Apr 1, 2026 (1906 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Nov 18, 2009 (-4061 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address