DFX Intelligence
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Feed of 09/14/2026
At current firm
0 y
since Apr 17, 2026
In the industry
13 y
since Aug 1, 2013 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
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 Apr 17, 2026 · Providence, Ri
- L•• E••••••••• L•• BD affiliatedJan 3, 2026 to Jan 27, 2026 · Newark, Nj
Moves
a registration end followed by a registration begin elsewhere
- L•• E••••••••• L•• to M••••• S••••••left Jan 27, 2026, registered Apr 17, 2026 (80 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- T•••• G••••••••• left L•• E••••••••• L•• for M••••• S•••••• (registered 2026-04-17)Jan 27, 2026 · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address