DFX Intelligence
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Registered advisor
A•• A•••••• I••••••
Feed of 09/14/2026
Also filed as A• A•••••• I••••••
At current firm
6 y
since Dec 3, 2019
In the industry
38 y
since Jan 15, 1988 (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
Professional profileWhat is shown hereOnly business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
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 currentsince Dec 3, 2019 · Long Beach, Ca
- W•••• F•••• A••••••• wirehouseMar 31, 2009 to Dec 6, 2019 · Seal Beach, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 8, 1997 to Apr 20, 2009 · Long Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 6, 2019, registered Dec 3, 2019 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Apr 20, 2009, registered Mar 31, 2009 (-20 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address