DFX Intelligence

RIA Intelligence

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Registered advisor

D•••• S•••• N••••••

S•••••• N••••••• • C••••••• I•••••••••national BDWalnut Creek, Cadual registrantIAPD 1596037

Feed of 09/14/2026

Also filed as D••••• N••••••

At current firm

10 y

since Jun 30, 2016

In the industry

39 y

since Jan 22, 1987 (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

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

0

dated events on this person

Professional profile

title, designations and roles as the firm prints them

Title: Vice President/Investmentsreportedstifel.comfirm site, Sep 24, 2026

Registration history

IAPD current and previous registrations

S•••••• N••••••• • C••••••• I••••••••• national BD current
since Jun 30, 2016 · Walnut Creek, Ca

W•••• F•••• A••••••• wirehouse
Jul 20, 2007 to Jul 6, 2016 · Lafayette, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Jun 10, 2003 to Aug 2, 2007 · Walnut Creek, Ca

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••
left Jul 6, 2016, registered Jun 30, 2016 (-6 days) · Wirehouse to affiliated broker-dealer or bank
C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••
left Aug 2, 2007, registered Jul 20, 2007 (-13 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: National broker-dealer RIAderived
Years in industry: 39derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address