DFX Intelligence
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Registered advisor
E••••• P••••••
Feed of 09/14/2026
Also filed as E•••• P••••••••• D••••••••• D••••••••• P••••••••• D••••••••• P••••••
At current firm
0 y
since Feb 27, 2026
In the industry
11 y
since Sep 14, 2015 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Feb 27, 2026 · Grosse Pointe Farms, Mi
- U•• F•••••••• S••••••• I••• wirehouseJun 9, 2023 to Feb 25, 2026 · Plymouth, Mi
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 25, 2021 to Jul 2, 2021 · Westlake, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 9, 2018 to Mar 4, 2019 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Feb 25, 2026, registered Feb 27, 2026 (2 days) · Wirehouse to wirehouse
- F••••••• P••••••• A•• W•••••••• A••••••• to U•• F•••••••• S••••••• I•••left Jul 2, 2021, registered Jun 9, 2023 (707 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 4, 2019, registered Feb 25, 2021 (724 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedFeb 25, 2026 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address