DFX Intelligence
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Registered advisor
P••••••••• E•••••••
Feed of 09/14/2026
At current firm
0 y
since Jan 16, 2026
In the industry
11 y
since Aug 1, 2015 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- P•••• W••••• M••••••••• state registered currentsince Jan 16, 2026 · Grayson, Ga
- E••••• J•••• national BDMay 17, 2024 to Nov 6, 2025 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 17, 2023 to May 17, 2024 · Los Angeles, Ca
- J••• M••••• S••••••••• L•• wirehouseFeb 21, 2019 to Sep 11, 2020 · Sacramento, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedJun 25, 2018 to Feb 12, 2019 · Pleasanton, Ca
- M••••• S•••••• wirehouseAug 2, 2017 to May 17, 2018 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to P•••• W••••• M•••••••••left Nov 6, 2025, registered Jan 16, 2026 (71 days) · Affiliated broker-dealer or bank to a state-registered adviser
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left May 17, 2024, registered May 17, 2024 (0 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 11, 2020, registered May 17, 2023 (978 days) · Wirehouse to wirehouse · moved with a team
- M•• I•••••••• S•••••••• L•• to J••• M••••• S••••••••• L••left Feb 12, 2019, registered Feb 21, 2019 (9 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to M•• I•••••••• S•••••••• L••left May 17, 2018, registered Jun 25, 2018 (39 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedNov 6, 2025 · Advisor changed firm · fact
- ••• LockedMay 17, 2024 · 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
- STATE REGISTEREDderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address