DFX Intelligence
RIA Intelligence
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Registered advisor
R•••••• S••••• L•••••••
Feed of 09/15/2026
At current firm
9 y
since Feb 13, 2017
In the industry
39 y
since Jan 1, 1987 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
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•••••••• C••••••••• independent RIA currentsince Feb 13, 2017 · San Diego, Ca
- L••••••• • C••••••• L•• unclassifiedMar 7, 2005 to Sep 15, 2006 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- L••••••• • C••••••• L•• to W•••••• F•••••••• C•••••••••left Sep 15, 2006, registered Feb 13, 2017 (3804 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address