DFX Intelligence
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Feed of 09/14/2026
Also filed as P•••• J••••••••• S• S••••••••• S• J••••
At current firm
9 y
since Jul 20, 2017
In the industry
38 y
since Jun 20, 1988 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Jul 20, 2017 · Houston, Tx
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jul 27, 2017 · Houston, Tx
- W•••• F•••• I••••••••• L•• unclassifiedApr 3, 2009 to Jan 3, 2011 · Houston, Tx
- S••••••• G•••• C•••••• unclassifiedNov 13, 2008 to Mar 26, 2009 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 24, 1988 to Nov 18, 2008 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M••••• S••••••left Jul 27, 2017, registered Jul 20, 2017 (-7 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- S••••••• G•••• C•••••• to W•••• F•••• I••••••••• L••left Mar 26, 2009, registered Apr 3, 2009 (8 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••••• G•••• C••••••left Nov 18, 2008, registered Nov 13, 2008 (-5 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address