DFX Intelligence
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Feed of 09/14/2026
Also filed as P••••••• R••• Y••••••••• Y••••••••• R• Y••••••••• R• Y•••
At current firm
2 y
since Oct 26, 2023
In the industry
14 y
since Jan 1, 2012 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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••••• S•••••• wirehouse currentsince Oct 26, 2023 · Albuquerque, Nm
- U•• F•••••••• S••••••• I••• wirehouseJul 14, 2022 to Oct 13, 2023 · Albuquerque, Nm
- M••••• S•••••• wirehouseOct 12, 2018 to Jul 7, 2022 · Greenwood Village, Co
- T• A••••••••• I••• formerFeb 28, 2018 to Oct 9, 2018 · Albuquerque, Nm
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Oct 9, 2018 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerMar 9, 2017 to Feb 26, 2018 · Saint Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Oct 13, 2023, registered Oct 26, 2023 (13 days) · Wirehouse to wirehouse
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Jul 7, 2022, registered Jul 14, 2022 (7 days) · Wirehouse to wirehouse
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Oct 9, 2018, registered Feb 28, 2018 (-223 days) · Other · moved with a team
- T• A••••••••• I••• to M••••• S••••••left Oct 9, 2018, registered Oct 12, 2018 (3 days) · Other
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedOct 13, 2023 · Advisor changed firm · fact
- ••• LockedJul 7, 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address