DFX Intelligence
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Registered advisor
D•••• R• C••••
Feed of 09/15/2026
Also filed as D•••• R•••• C••••••••• C••••
At current firm
0 y
since Aug 4, 2026
In the industry
38 y
since Sep 1, 1988 (earliest exam, job or registration)
Prior registered firms
4
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Aug 4, 2026 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 27, 2018 to Jan 9, 2026 · San Diego, Ca
- U••• B•••••• I••••••••• I••• formerJun 5, 2012 to Dec 14, 2018 · La Jolla, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jun 7, 2012 · La Jolla, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 12, 1998 to Oct 23, 2009 · La Jolla, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Jan 9, 2026, registered Aug 4, 2026 (207 days) · Wirehouse to affiliated broker-dealer or bank
- U••• B•••••• I••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 14, 2018, registered Dec 27, 2018 (13 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• I••••••••• I•••left Jun 7, 2012, registered Jun 5, 2012 (-2 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedJan 9, 2026 · Advisor changed firm · fact
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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address