DFX Intelligence
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Registered advisor
C•••••••• E••••• I••
Feed of 09/14/2026
Also filed as C•••••••• E••••• Bracken
At current firm
3 y
since Sep 1, 2023
In the industry
32 y
since Jun 10, 1994 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Phoenix, Az
- S•••••••• F••••••••• I••• formerJun 4, 2019 to Sep 1, 2023 · Phoenix, Az
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Jun 19, 2019 · Los Gatos, Ca
- A••••••••• P••••••• I••••••••• A••••••• I•• unclassifiedJul 7, 2009 to Sep 25, 2009 · Boston, Ma
- A••••••••• S••••••••• C•••• unclassifiedJul 7, 2009 to Sep 8, 2009 · Boston, Ma
- I•• F•••••••• P••••••• • A••••••••• unclassifiedSep 20, 2006 to May 23, 2008 · Palo Alto, Ca
- I•• F•••••••• E••••••••• I••••••••• unclassifiedJun 20, 2006 to Oct 20, 2006 · Palo Alto, Ca
- A••••••••• P••••••• I••••••••• A••••••• I•• unclassifiedNov 16, 1998 to Jun 3, 2008 · Palo Alto, Ca
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to S•••••••• F••••••••• I•••left Jun 19, 2019, registered Jun 4, 2019 (-15 days) · RIA to affiliated broker-dealer or bank
- A••••••••• P••••••• I••••••••• A••••••• I•• to L•• F•••••••• L••left Sep 25, 2009, registered Sep 8, 2009 (-17 days) · Other
- A••••••••• S••••••••• C•••• to A••••••••• P••••••• I••••••••• A••••••• I••left Sep 8, 2009, registered Jul 7, 2009 (-63 days) · Other
- A••••••••• P••••••• I••••••••• A••••••• I•• to I•• F•••••••• E••••••••• I•••••••••left Jun 3, 2008, registered Jun 20, 2006 (-714 days) · Other
- I•• F•••••••• P••••••• • A••••••••• to A••••••••• S••••••••• C••••left May 23, 2008, registered Jul 7, 2009 (410 days) · Other
- I•• F•••••••• E••••••••• I••••••••• to I•• F•••••••• P••••••• • A•••••••••left Oct 20, 2006, registered Sep 20, 2006 (-30 days) · Other
Signals
No dated event on this person.
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address