DFX Intelligence
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Registered advisor
N••••••• B••••• S•••••••
Feed of 09/15/2026
Also filed as N•••• S••••••••• B• S•••••••
At current firm
21 y
since Aug 19, 2005
In the industry
37 y
since Aug 1, 1989 (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
- O••••••••• • C•• I••• BD affiliated currentsince Aug 19, 2005 · San Francisco, Ca
- M••••• S•••••• D• I••• unclassifiedAug 24, 1998 to Aug 29, 2005 · San Francisc, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• D• I••• to O••••••••• • C•• I•••left Aug 29, 2005, registered Aug 19, 2005 (-10 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address