DFX Intelligence
RIA Intelligence
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Registered advisor
B•••• W•••••• F••••••
Feed of 09/14/2026
At current firm
3 y
since Sep 13, 2023
In the industry
37 y
since Jan 25, 1989 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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 Sep 13, 2023 · Summerland, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 20, 2023 · Palm Desert, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 8, 1997 to Jun 1, 2009 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to L•• F•••••••• L••left Sep 20, 2023, registered Sep 13, 2023 (-7 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
Signals
- B•••• W•••••• F•••••• left M••••• S•••••• for L•• F•••••••• L•• (registered 2023-09-13)Sep 20, 2023 · 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address