DFX Intelligence
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Registered advisor
A••••• L•••• T•••
Feed of 09/14/2026
Also filed as A••••• L•••• T••••••••• T••• L••••••••• T••• L••
At current firm
3 y
since Jun 29, 2023
In the industry
29 y
since Sep 24, 1997 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · San Francisco, Ca
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 8, 2003 to Sep 25, 2009 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- V••• F•••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Sep 25, 2009, registered Jun 29, 2023 (5025 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address