DFX Intelligence
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Registered advisor
J•••• D••••• S••••
Feed of 09/15/2026
At current firm
8 y
since Jan 9, 2018
In the industry
29 y
since Jul 8, 1997 (earliest exam, job or registration)
Prior registered firms
3
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
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Jan 9, 2018 · Orinda, Ca
- R•• C•••••• M••••••••• L•• unclassifiedApr 28, 2016 to Jan 23, 2018 · Lafayette, Ca
- P•••••• E••• A••••••• unclassifiedJul 17, 2015 to Dec 19, 2017 · Orinda, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 8, 1997 to Sep 12, 2011 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••••• L•• to K••••• A••••••• S•••••••• L••left Jan 23, 2018, registered Jan 9, 2018 (-14 days) · Other
- P•••••• E••• A••••••• to R•• C•••••• M••••••••• L••left Dec 19, 2017, registered Apr 28, 2016 (-600 days) · Other
- C•••••••• G••••• M•••••• I••• to P•••••• E••• A•••••••left Sep 12, 2011, registered Jul 17, 2015 (1404 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address