DFX Intelligence
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Registered advisor
E••••• S•••••
Feed of 09/14/2026
Also filed as E••••• S••••••••• S•••••
At current firm
1 y
since Mar 25, 2025
In the industry
13 y
since Dec 1, 2012 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
10
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- T• P•••••• C••••• W••••• L•• BD affiliated currentsince Mar 25, 2025 · Washington, Dc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 23, 2023 to Nov 5, 2024 · Washington, Dc
- J••• M••••• S••••••••• L•• wirehouseDec 18, 2019 to Mar 14, 2023 · Bethesda, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 5, 2018 to Aug 9, 2019 · Washington, Dc
- C•••••• C•••••• unclassifiedOct 18, 2016 to Sep 19, 2017 · Alexandria, Va
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• P•••••• C••••• W••••• L••left Nov 5, 2024, registered Mar 25, 2025 (140 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 14, 2023, registered Mar 23, 2023 (9 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Aug 9, 2019, registered Dec 18, 2019 (131 days) · Wirehouse to wirehouse
- C•••••• C•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 19, 2017, registered Jan 5, 2018 (108 days) · Other
Signals
- ••• LockedNov 5, 2024 · Advisor changed firm · fact
- ••• LockedMar 14, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address