DFX Intelligence
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Registered advisor
S•••• E• A•••••
Feed of 09/14/2026
Also filed as S•••• E• S•••••
At current firm
18 y
since Jun 13, 2008
In the industry
34 y
since Oct 23, 1991 (earliest exam, job or registration)
Prior registered firms
1
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
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Jun 13, 2008 · Newport Beach, Ca
- U•• F•••••••• S••••••• I••• wirehouseAug 28, 2000 to Jun 26, 2008 · Newport Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Jun 26, 2008, registered Jun 13, 2008 (-13 days) · Wirehouse to wirehouse
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address