DFX Intelligence
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Feed of 09/14/2026
Also filed as F•••• J••••••••• J•••••••
At current firm
3 y
since Feb 17, 2023
In the industry
42 y
since Aug 15, 1984 (earliest exam, job or registration)
Prior registered firms
2
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
- M••••• S•••••• wirehouse currentsince Feb 17, 2023 · Eugene, Or
- R•• C•••••• M••••••• L•• national BDDec 3, 2008 to Mar 8, 2023 · Eugene, Or
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 23, 2003 to Dec 16, 2008 · Eugene, Or
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to M••••• S••••••left Mar 8, 2023, registered Feb 17, 2023 (-19 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- C•••••••• G••••• M•••••• I••• to R•• C•••••• M••••••• L••left Dec 16, 2008, registered Dec 3, 2008 (-13 days) · Other
Signals
- ••• LockedMar 8, 2023 · 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address