DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
F•••• L••••••• S•••••••
R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedNewport Beach, Cadual registrantIAPD 1726463
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
Also filed as Floyd L Schwartz
At current firm
4 y
since Apr 4, 2022
In the industry
38 y
since Oct 9, 1987 (earliest exam, job or registration)
Prior registered firms
5
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•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Apr 4, 2022 · Newport Beach, Ca
- W•••• F•••• A••••••• wirehouseNov 7, 2013 to May 9, 2022 · Newport Beach, Ca
- T•• F•••••••• S•••••••• I••• unclassifiedFeb 1, 2011 to Jan 8, 2014 · Newport Beach, Ca
- T•• F•••••••• S•••••••• I••• unclassifiedFeb 4, 2010 to Dec 31, 2010 · Newport Beach, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Nov 8, 2013 · Newport Beach, Ca
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedMar 29, 1999 to Jan 2, 2009 · Newport Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 9, 2022, registered Apr 4, 2022 (-35 days) · Wirehouse to affiliated broker-dealer or bank
- T•• F•••••••• S•••••••• I••• to W•••• F•••• A•••••••left Jan 8, 2014, registered Nov 7, 2013 (-62 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to T•• F•••••••• S•••••••• I•••left Nov 8, 2013, registered Feb 4, 2010 (-1373 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
Signals
- F•••• L••••••• S••••••• left W•••• F•••• A••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-04-04)May 9, 2022 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address