DFX Intelligence
RIA Intelligence
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Registered advisor
S•••••• M••• S•••••
Feed of 09/14/2026
At current firm
4 y
since Mar 15, 2022
In the industry
35 y
since Jul 3, 1991 (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
S66, S63, S65
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 Mar 15, 2022 · San Francisco, Ca
- C••• F•••••••• S•••••••• L••• formerSep 10, 2009 to Mar 14, 2022 · San Diego, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJan 5, 2005 to Sep 14, 2009 · Millbrae, Ca
- C••••••• I••••••••• S••••••• unclassifiedJan 29, 2004 to Jan 3, 2005 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left Mar 14, 2022, registered Mar 15, 2022 (1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- W•••• F•••• I••••••••• L•• to C••• F•••••••• S•••••••• L•••left Sep 14, 2009, registered Sep 10, 2009 (-4 days) · Other
- C••••••• I••••••••• S••••••• to W•••• F•••• I••••••••• L••left Jan 3, 2005, registered Jan 5, 2005 (2 days) · Other
Signals
- S•••••• M••• S••••• left C••• F•••••••• S•••••••• L••• for L•• F•••••••• L•• (registered 2022-03-15)Mar 14, 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