DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
A••••• T••••• B••••••••
Feed of 09/14/2026
At current firm
8 y
since Nov 29, 2017
In the industry
35 y
since Oct 4, 1990 (earliest exam, job or registration)
Prior registered firms
4
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
- L•• F•••••••• L•• BD affiliated currentsince Nov 29, 2017 · Sedona, Az
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMar 30, 2012 to Nov 29, 2017 · Rancho Cucamonga, Ca
- B•••••• B•••••••• • E••••• I••• unclassifiedJan 11, 2008 to Apr 30, 2010 · Upland, Ca
- O•••• W•••••• I••• BD affiliatedJul 8, 1997 to Apr 3, 2012 · Upland, Ca
- B•••••• B•••••••• • E••••• I••• unclassifiedJan 1, 1995 to Dec 31, 2007 · Upland, Ca
Moves
a registration end followed by a registration begin elsewhere
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Nov 29, 2017, registered Nov 29, 2017 (0 days) · Other · moved with a team
- O•••• W•••••• I••• to B•••••• B•••••••• • E••••• I•••left Apr 3, 2012, registered Jan 11, 2008 (-1544 days) · Other
- B•••••• B•••••••• • E••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Apr 30, 2010, registered Mar 30, 2012 (700 days) · Other
- B•••••• B•••••••• • E••••• I••• to O•••• W•••••• I•••left Dec 31, 2007, registered Jul 8, 1997 (-3828 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address