DFX Intelligence
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Registered advisor
A••••• A••••• T•••••••
Feed of 09/14/2026
Also filed as T••••••• A••••• A••••••••• T•••••••
At current firm
19 y
since Apr 5, 2007
In the industry
35 y
since Apr 23, 1991 (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
S65, 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
- B••• M••••• I••••••••• independent RIAApr 5, 2007 to Jan 6, 2024 · Long Beach, Ca
- C••••••••• F•••••••• N•••••• national BDAug 16, 2000 to Nov 2, 2006 · Long Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••••••••• F•••••••• N•••••• to B••• M••••• I•••••••••left Nov 2, 2006, registered Apr 5, 2007 (154 days) · Affiliated broker-dealer or bank to independent RIA
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
- Independent wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address