DFX Intelligence
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Feed of 09/14/2026
At current firm
1 y
since Mar 31, 2025
In the industry
10 y
since Apr 29, 2016 (earliest exam, job or registration)
Prior registered firms
6
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Long Beach, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerMay 23, 2022 to Mar 31, 2025 · Katy, Tx
- J••• M••••• S••••••••• L•• wirehouseDec 18, 2019 to Mar 6, 2022 · Cypress, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 20, 2019 to Oct 28, 2019 · New York, Ny
- V•••• F•••••••• A•••••••• I••• BD affiliatedJun 28, 2017 to Mar 7, 2019 · Lakewood, Co
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Jun 6, 2017 · Greenwood Village, Co
- M•• F•••••••• S•••••••• I••• formerJan 31, 2017 to Mar 25, 2017 · Greenwood Village, Co
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 6, 2022, registered May 23, 2022 (78 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Oct 28, 2019, registered Dec 18, 2019 (51 days) · Wirehouse to wirehouse
- V•••• F•••••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 7, 2019, registered Jun 20, 2019 (105 days) · Affiliated broker-dealer or bank to wirehouse
- M•• I•••••••• S•••••••• L•• to V•••• F•••••••• A•••••••• I•••left Jun 6, 2017, registered Jun 28, 2017 (22 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedMar 6, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address