DFX Intelligence
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Feed of 09/15/2026
Also filed as N•• P• G••••
At current firm
7 y
since Sep 10, 2019
In the industry
13 y
since Sep 27, 2012 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
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 Sep 10, 2019 · Menlo Park, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedSep 20, 2017 to Mar 26, 2018 · Alviso, Ca
- M••••• S•••••• wirehouseAug 19, 2015 to Oct 7, 2015 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- T••••••••• F•••••••• A•••••••• L•• to M••••• S••••••left Mar 26, 2018, registered Sep 10, 2019 (533 days) · Other
- M••••• S•••••• to T••••••••• F•••••••• A•••••••• L••left Oct 7, 2015, registered Sep 20, 2017 (714 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address