DFX Intelligence
RIA Intelligence
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Feed of 09/15/2026
At current firm
3 y
since Dec 16, 2022
In the industry
15 y
since Jun 11, 2011 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Dec 16, 2022 · Santa Clara, Ca
- J••• M••••• S••••••••• L•• wirehouseJul 6, 2018 to Dec 18, 2022 · Palo Alto, Ca
- E•••••• C•••••• M••••••••• L•• formerSep 25, 2015 to Jul 12, 2018 · Palo Alto, Ca
- M••••• S•••••• wirehouseJul 5, 2013 to Jul 31, 2015 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseFeb 11, 2013 to Mar 22, 2013 · Palo Alto, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Dec 18, 2022, registered Dec 16, 2022 (-2 days) · Wirehouse to wirehouse
- E•••••• C•••••• M••••••••• L•• to J••• M••••• S••••••••• L••left Jul 12, 2018, registered Jul 6, 2018 (-6 days) · RIA to wirehouse
- M••••• S•••••• to E•••••• C•••••• M••••••••• L••left Jul 31, 2015, registered Sep 25, 2015 (56 days) · Other
- W•••• F•••• A••••••• to M••••• S••••••left Mar 22, 2013, registered Jul 5, 2013 (105 days) · Wirehouse to wirehouse
Signals
- S••••• U•••• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2022-12-16)Dec 18, 2022 · 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address