DFX Intelligence
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Registered advisor
C••••••••• E••• A•••••
Feed of 09/15/2026
At current firm
13 y
since Oct 1, 2012
In the industry
35 y
since May 9, 1991 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 1, 2012 · Hemet, Ca
- C•••• I••••••••• S••••••• C•••• formerDec 13, 2010 to Oct 1, 2012 · Escondido, Ca
- C••• F•••••••• S•••••••• L••• formerJan 20, 2010 to Oct 7, 2010 · Temecula, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Jan 27, 2010 · Riverside, Ca
- C••••••• I••••••••• S••••••• unclassifiedSep 15, 2006 to May 29, 2007 · Costa Mesa, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedNov 9, 2000 to Nov 7, 2005 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- C••• F•••••••• S•••••••• L••• to C•••• I••••••••• S••••••• C••••left Oct 7, 2010, registered Dec 13, 2010 (67 days) · Other
- C•••••••• G••••• M•••••• I••• to C••• F•••••••• S•••••••• L•••left Jan 27, 2010, registered Jan 20, 2010 (-7 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- U••• B•••••• A•••••••• L•• to C••••••• I••••••••• S•••••••left Nov 7, 2005, registered Sep 15, 2006 (312 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
- Wirehousederived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address