DFX Intelligence
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Registered advisor
R•••••• A•••••• A••••••••
Feed of 09/14/2026
At current firm
12 y
since Jan 29, 2014
In the industry
36 y
since Jan 26, 1990 (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
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
- C•••••• S••••• • C••• I••• national BD currentsince Jan 29, 2014 · San Francisco, Ca
- T• A••••••••• I••• formerFeb 25, 2022 to Oct 14, 2022 · San Francisco, Ca
- S•••••••• A••••••• L•• national BDJul 2, 2002 to Jan 3, 2014 · Greenwich, Ct
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to no registered destinationleft Oct 14, 2022 · Departure, no registered destination
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Jan 3, 2014, registered Jan 29, 2014 (26 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedOct 14, 2022 · Advisor departure · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address