DFX Intelligence
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Registered advisor
Y••••• Z•••••
Feed of 09/14/2026
Also filed as Y••••• Z••••••••• O• C••••••••• C•••••
At current firm
6 y
since Oct 18, 2019
In the industry
27 y
since Feb 26, 1999 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Oct 18, 2019 · Beverly Hills, Ca
- W•••• F•••• A••••••• wirehouseMar 15, 2007 to Oct 18, 2019 · Los Angeles, Ca
- M••••• S•••••• D• I••• unclassifiedJul 8, 2003 to Feb 20, 2007 · Glendale, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Oct 18, 2019, registered Oct 18, 2019 (0 days) · channel change inside one enterprise, not a move · moved with a team
- M••••• S•••••• D• I••• to W•••• F•••• A•••••••left Feb 20, 2007, registered Mar 15, 2007 (23 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address