DFX Intelligence
RIA Intelligence
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Feed of 09/15/2026
At current firm
4 y
since Mar 3, 2022
In the industry
11 y
since Oct 1, 2014 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 3, 2022 · Columbus, Oh
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedFeb 7, 2020 to Jan 13, 2022 · Deerfield, Il
Moves
a registration end followed by a registration begin elsewhere
- G•••••• S•••• W••••• S•••••••• L••• to J••• M••••• S••••••••• L••left Jan 13, 2022, registered Mar 3, 2022 (49 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- J•• K•• left G•••••• S•••• W••••• S•••••••• L••• for J••• M••••• S••••••••• L•• (registered 2022-03-03)Jan 13, 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address