DFX Intelligence
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Registered advisor
T• G•••• R•••••
Feed of 09/14/2026
At current firm
4 y
since Jan 31, 2022
In the industry
35 y
since Dec 21, 1990 (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
S66, 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
- L•• F•••••••• L•• BD affiliated currentsince Jan 31, 2022 · Key West, Fl
- R•••••• J•••• • A••••••••• I••• national BDDec 12, 2014 to Mar 1, 2022 · Irvine, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJul 6, 2010 to Dec 23, 2014 · Los Angeles, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 21, 2010 · Laguna Niguel, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 10, 2007 to Jun 1, 2009 · Laguna Niguel, Ca
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedFeb 19, 2002 to Dec 17, 2004 · Newport Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to L•• F•••••••• L••left Mar 1, 2022, registered Jan 31, 2022 (-29 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Dec 23, 2014, registered Dec 12, 2014 (-11 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Jul 21, 2010, registered Jul 6, 2010 (-15 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- R•••••• J•••• F•••••••• S•••••••• I••• to C•••••••• G••••• M•••••• I•••left Dec 17, 2004, registered Jul 10, 2007 (935 days) · Other
Signals
- ••• LockedMar 1, 2022 · 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address