DFX Intelligence
RIA Intelligence
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Registered advisor
C••••• E•••• B•••••
Feed of 09/14/2026
At current firm
0 y
since Jan 1, 2026
In the industry
28 y
since Aug 10, 1998 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
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
- B••••• • C•••••• I••••••••• C••••••• L•• state registered currentsince Jan 1, 2026 · Los Angeles, Ca
- I••••••••• F•••••••• P••••••• BD affiliatedJul 7, 2011 to Oct 18, 2016 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 21, 1998 to Jul 5, 2011 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- I••••••••• F•••••••• P••••••• to B••••• • C•••••• I••••••••• C••••••• L••left Oct 18, 2016, registered Jan 1, 2026 (3362 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••••••• F•••••••• P•••••••left Jul 5, 2011, registered Jul 7, 2011 (2 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
- STATE REGISTEREDderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address