DFX Intelligence
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Registered advisor
P••••• S••• T•••••
Feed of 09/15/2026
Also filed as P••••• M•••• M••••••••• N•••••••• S••••••••• S••• T••••••••• M•••• M••••••••• T•••••
At current firm
1 y
since Nov 4, 2024
In the industry
17 y
since Sep 18, 2009 (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
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 4, 2024 · Boston, Ma
- J••• M••••• S••••••••• L•• wirehouseApr 22, 2022 to Oct 16, 2024 · Boston, Ma
- A••••• A•• P••••••• S••••••• BD affiliatedNov 25, 2014 to Mar 22, 2022 · Waltham, Ma
- C••••••• S••••••••• I••• BD affiliatedMay 13, 2014 to Nov 11, 2014 · Boston, Ma
- W•••• F•••• A••••••• wirehouseJun 22, 2010 to Sep 24, 2013 · El Segundo, Ca
- W•••• F•••• I••••••••• L•• unclassifiedSep 21, 2009 to Jun 23, 2010 · Placentia, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 16, 2024, registered Nov 4, 2024 (19 days) · Wirehouse to wirehouse
- A••••• A•• P••••••• S••••••• to J••• M••••• S••••••••• L••left Mar 22, 2022, registered Apr 22, 2022 (31 days) · Affiliated broker-dealer or bank to wirehouse
- C••••••• S••••••••• I••• to A••••• A•• P••••••• S•••••••left Nov 11, 2014, registered Nov 25, 2014 (14 days) · Other
- W•••• F•••• A••••••• to C••••••• S••••••••• I•••left Sep 24, 2013, registered May 13, 2014 (231 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jun 23, 2010, registered Jun 22, 2010 (-1 days) · Other
Signals
- ••• LockedOct 16, 2024 · Advisor changed firm · fact
- ••• LockedMar 22, 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address