DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
A••••• E••••• F••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
Also filed as A••••• E••••• F••••••• F••••••••• E••••• F••••
At current firm
1 y
since Apr 28, 2025
In the industry
24 y
since Aug 7, 2002 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
4
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
- D••• F•••••••• P••••••• state registered currentsince Apr 28, 2025 · Los Angeles, Ca
- W•••••• W••••• M••••••••• unclassifiedDec 7, 2022 to Jul 15, 2025 · Ramona, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 2, 2015 to Aug 14, 2020 · Encino, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 25, 2015 · Pasadena, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Pasadena, Ca
- M••••• S•••••• D• I••• unclassifiedJul 23, 2003 to Apr 2, 2007 · Woodland Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••••• W••••• M••••••••• to D••• F•••••••• P•••••••left Jul 15, 2025, registered Apr 28, 2025 (-78 days) · Other
- J••• M••••• S••••••••• L•• to W•••••• W••••• M•••••••••left Aug 14, 2020, registered Dec 7, 2022 (845 days) · Other
- M••••• S•••••• to J••• M••••• S••••••••• L••left Sep 25, 2015, registered Oct 2, 2015 (7 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedJul 15, 2025 · Advisor changed firm · fact
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
- STATE REGISTEREDderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address