DFX Intelligence
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Feed of 09/14/2026
Also filed as K•••• F•••••• M••••••
At current firm
8 y
since Nov 13, 2017
In the industry
15 y
since Jan 11, 2011 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
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
- M••••• S•••••• wirehouse currentsince Nov 13, 2017 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 10, 2011 to Nov 13, 2017 · New York, Ny
- B••••••• C•••••• I••• formerJan 12, 2011 to Oct 6, 2011 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to M••••• S••••••left Nov 13, 2017, registered Nov 13, 2017 (0 days) · Wirehouse to wirehouse · moved with a team
- B••••••• C•••••• I••• to J••• M••••• S••••••••• L••left Oct 6, 2011, registered Oct 10, 2011 (4 days) · Other
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address