DFX Intelligence
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Feed of 09/14/2026
Also filed as L••• Y••••••• X••••• Y••
At current firm
4 y
since Jun 17, 2022
In the industry
13 y
since Sep 1, 2013 (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
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 Jun 17, 2022 · Menlo Park, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedOct 31, 2018 to Jun 21, 2022 · New York, Ny
- M••••• S•••••• wirehouseApr 21, 2014 to Oct 17, 2018 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to M••••• S••••••left Jun 21, 2022, registered Jun 17, 2022 (-4 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to C••••• I••••••••• A••••••• L••left Oct 17, 2018, registered Oct 31, 2018 (14 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedJun 21, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
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