DFX Intelligence
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Feed of 09/14/2026
Also filed as M••• B••••••••• S•••••• B••••••••• S• B••••••••• M•••••••••
At current firm
0 y
since Apr 22, 2026
In the industry
14 y
since Oct 3, 2011 (earliest exam, job or registration)
Prior registered firms
7
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
3
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Apr 22, 2026 · Cocoa, Fl
- W•••• F•••• A••••••• wirehouseMar 7, 2024 to May 20, 2025 · Wilmington, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 19, 2022 to Jun 17, 2022 · Suffolk, Va
- E••••• J•••• national BDJan 15, 2021 to Feb 23, 2022 · Oxnard, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 9, 2017 to Dec 31, 2020 · Encino, Ca
- T• A••••••••• I••• formerMar 9, 2017 to Jan 11, 2021 · Encino, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 17, 2012 to Feb 2, 2017 · Rancho Cucamonga, Ca
- M••••• S•••••• wirehouseOct 4, 2011 to Feb 8, 2012 · Oxnard, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S•••••••• A••••••• L••left May 20, 2025, registered Apr 22, 2026 (337 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jun 17, 2022, registered Mar 7, 2024 (629 days) · Wirehouse to wirehouse
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 23, 2022, registered May 19, 2022 (85 days) · Affiliated broker-dealer or bank to wirehouse
- T• A••••••••• I••• to E••••• J••••left Jan 11, 2021, registered Jan 15, 2021 (4 days) · Other · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Mar 9, 2017 (-1393 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 2, 2017, registered Mar 9, 2017 (35 days) · Other · moved with a team
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 8, 2012, registered Feb 17, 2012 (9 days) · Wirehouse to wirehouse
Signals
- ••• LockedMay 20, 2025 · Advisor changed firm · fact
- ••• LockedJun 17, 2022 · Advisor changed firm · fact
- ••• LockedFeb 23, 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
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address