DFX Intelligence
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Registered advisor
C•••••••• C••••• S••••
Feed of 09/15/2026
Also filed as C•••••••• C••••••••• S••••
At current firm
21 y
since Apr 26, 2005
In the industry
33 y
since Jan 8, 1993 (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, 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
- L•• F•••••••• L•• BD affiliated currentsince Apr 26, 2005 · Sherman Oaks, Ca
- S••• B•••••••• S••••••• unclassifiedAug 11, 2004 to Apr 25, 2005 · Hollywood, Ca
- C••••• A•••••• N••••••• L•• formerNov 21, 1997 to Aug 18, 2004 · Hollywood, Ca
Moves
a registration end followed by a registration begin elsewhere
- S••• B•••••••• S••••••• to L•• F•••••••• L••left Apr 25, 2005, registered Apr 26, 2005 (1 day) · Other
- C••••• A•••••• N••••••• L•• to S••• B•••••••• S•••••••left Aug 18, 2004, registered Aug 11, 2004 (-7 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address