DFX Intelligence
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Feed of 09/14/2026
At current firm
12 y
since Feb 18, 2014
In the industry
30 y
since Dec 18, 1995 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- T•• F•••••••• G•••• former currentsince Feb 18, 2014 · Diamond Bar, Ca
- T•• F•••••••• G•••• formerFeb 18, 2014 to Jun 9, 2014 · Diamond Bar, Ca
- V••• F•••••••• A•••••••• I••• BD affiliatedJul 6, 1998 to Feb 25, 2014 · San Marcos, Ca
Moves
a registration end followed by a registration begin elsewhere
- V••• F•••••••• A•••••••• I••• to T•• F•••••••• G••••left Feb 25, 2014, registered Feb 18, 2014 (-7 days) · Other
Signals
No dated event on this person.
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
- Former SEC-registered adviserderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address