DFX Intelligence
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Feed of 09/14/2026
Also filed as A••••• S••••••••• M•••• S••••••
At current firm
4 y
since Jun 21, 2022
In the industry
13 y
since Aug 1, 2013 (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
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 Jun 21, 2022 · Scottsdale, Az
- V••••••• A•••••••• I••• BD affiliatedAug 16, 2021 to Jun 9, 2022 · Scottsdale, Az
- C••••• A•••••• N••••••• L•• formerJun 9, 2021 to Jul 29, 2021 · Midvale, Ut
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 20, 2021 to Jun 9, 2021 · Midvale, Ut
Moves
a registration end followed by a registration begin elsewhere
- V••••••• A•••••••• I••• to M••••• S••••••left Jun 9, 2022, registered Jun 21, 2022 (12 days) · Affiliated broker-dealer or bank to wirehouse
- C••••• A•••••• N••••••• L•• to V••••••• A•••••••• I•••left Jul 29, 2021, registered Aug 16, 2021 (18 days) · Affiliated broker-dealer or bank to another
- V••• F•••••••• A•••••••• I••• to C••••• A•••••• N••••••• L••left Jun 9, 2021, registered Jun 9, 2021 (0 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedJun 9, 2022 · a•••••• firm change · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address