DFX Intelligence
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Feed of 09/15/2026
Also filed as S•••• K•••••• R•••
At current firm
3 y
since Aug 7, 2023
In the industry
12 y
since Jan 31, 2014 (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
- W•••• F•••• A••••••• wirehouse currentsince Aug 7, 2023 · Santa Rosa, Ca
- J••• M••••• S••••••••• L•• wirehouseMar 1, 2016 to Aug 8, 2023 · Millbrae, Ca
- M••••• S•••••• wirehouseJan 31, 2014 to Mar 9, 2016 · San Mateo, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Aug 8, 2023, registered Aug 7, 2023 (-1 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to J••• M••••• S••••••••• L••left Mar 9, 2016, registered Mar 1, 2016 (-8 days) · Wirehouse to wirehouse
Signals
- ••• LockedAug 8, 2023 · 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