DFX Intelligence
RIA Intelligence
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Registered advisor
R••••• A•••• S••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
At current firm
12 y
since Jan 23, 2014
In the industry
31 y
since Feb 17, 1995 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- G••••••• C•••••• A•••••••• L•• independent RIA currentsince Jan 23, 2014 · San Diego, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDDec 15, 1997 to Jan 28, 2014 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to G••••••• C•••••• A•••••••• L••left Jan 28, 2014, registered Jan 23, 2014 (-5 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address