DFX Intelligence
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Registered advisor
D•••• A••••• D••••••
Feed of 09/14/2026
Also filed as D•••• A••••• D••••••••• A••••• P•••••••••
At current firm
2 y
since Apr 4, 2024
In the industry
33 y
since Apr 16, 1993 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Apr 4, 2024 · Folsom, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJan 2, 2024 to Apr 15, 2024 · Gold River, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMar 28, 2005 to Dec 31, 2023 · Gold River, Ca
- C•••••••• I••••••••• R•••••••• I••• unclassifiedDec 15, 2003 to Mar 28, 2005 · Diamond Springs, Ca
- W•••••• • R••• formerJul 8, 1997 to Dec 31, 2003 · Sacramento, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••••••• F•••••••• N••••••left Apr 15, 2024, registered Apr 4, 2024 (-11 days) · Affiliated broker-dealer or bank to another
- C•••••••• I••••••••• R•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 28, 2005, registered Mar 28, 2005 (0 days) · corporate re-registration, not a move
- W•••••• • R••• to C•••••••• I••••••••• R•••••••• I•••left Dec 31, 2003, registered Dec 15, 2003 (-16 days) · Other
Signals
- ••• LockedApr 15, 2024 · 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
- National broker-dealer RIAderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address