DFX Intelligence
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Registered advisor
D••••• E•••• D•••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/15/2026
Also filed as D••••• E•••• D•••••
At current firm
2 y
since Feb 22, 2024
In the industry
36 y
since Aug 28, 1990 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S••••• A•••••••• L•• independent RIA currentsince Feb 23, 2024 · San Diego, Ca
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Feb 22, 2024 · Costa Mesa, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Mar 6, 2024 · San Jose, Ca
- M•• F•••••••• S•••••••• I••• formerJul 15, 2002 to Mar 25, 2017 · Walnut Creek, Ca
- E•••••••• A•••••••• L•• national BDFeb 9, 2000 to Jun 19, 2002 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left Mar 6, 2024, registered Feb 22, 2024 (-13 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to M•• F•••••••• S•••••••• I•••left Jun 19, 2002, registered Jul 15, 2002 (26 days) · Other
Signals
- ••• LockedMar 6, 2024 · Advisor changed firm · fact
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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address