DFX Intelligence
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Feed of 09/15/2026
At current firm
2 y
since May 2, 2024
In the industry
12 y
since Oct 22, 2013 (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
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
- M••••• S•••••• wirehouse currentsince May 2, 2024 · Menlo Park, Ca
- J••• M••••• S••••••••• L•• wirehouseMar 8, 2024 to Apr 4, 2024 · San Francisco, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerApr 13, 2021 to Apr 5, 2024 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 26, 2014 to Apr 5, 2021 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseOct 22, 2013 to Aug 14, 2014 · Irvine, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••left Apr 5, 2024, registered Mar 8, 2024 (-28 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to M••••• S••••••left Apr 4, 2024, registered May 2, 2024 (28 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• P•••••• W••••• A••••••• L••left Apr 5, 2021, registered Apr 13, 2021 (8 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 14, 2014, registered Aug 26, 2014 (12 days) · Wirehouse to wirehouse
Signals
- ••• LockedApr 4, 2024 · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address