DFX Intelligence
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Registered advisor
R••••• C•••••• C••••
Feed of 09/16/2026
Also filed as R••••• C•••••• C••••••••• C•••••• C••••
At current firm
15 y
since Jan 5, 2011
In the industry
42 y
since Sep 4, 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
S66, S63
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•• I•••••••• S•••••••• L•• BD affiliated currentsince Jan 5, 2011 · Palm Desert, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMOct 14, 2004 to May 12, 2009 · Los Angeles, Ca
- S••••• S••••••••• C••••••••• unclassifiedFeb 13, 2004 to Sep 13, 2004 · Pasadena, Ca
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to M•• I•••••••• S•••••••• L••left May 12, 2009, registered Jan 5, 2011 (603 days) · Other
- S••••• S••••••••• C••••••••• to N••••••••• M••••• I••••••••• S•••••••••left Sep 13, 2004, registered Oct 14, 2004 (31 days) · Other
Signals
- ••• LockedSep 15, 2026 · New state registration · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address