DFX Intelligence
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Registered advisor
R••••• G••••••••
Feed of 09/14/2026
Also filed as R•• G••••••••• A•••• G••••••••
At current firm
8 y
since Jul 20, 2018
In the industry
31 y
since Sep 5, 1995 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 20, 2018 · Livermore, Ca
- M••••• S•••••• wirehouseJul 20, 2016 to May 22, 2018 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseSep 25, 2012 to Jul 20, 2016 · San Francisco, Ca
- M••••• S•••••• wirehouseSep 16, 2010 to Sep 21, 2012 · San Francisco, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJul 26, 2010 to Sep 7, 2010 · San Mateo, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMay 8, 2009 to Jul 7, 2010 · Lake Elsinore, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDNov 22, 2005 to Apr 15, 2009 · Glendale, Ca
- U•• F•••••••• S••••••• I••• wirehouseAug 13, 1999 to Dec 5, 2005 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 22, 2018, registered Jul 20, 2018 (59 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to M••••• S••••••left Jul 20, 2016, registered Jul 20, 2016 (0 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left Sep 21, 2012, registered Sep 25, 2012 (4 days) · Wirehouse to wirehouse
- A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••left Sep 7, 2010, registered Sep 16, 2010 (9 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Dec 5, 2005, registered Nov 22, 2005 (-13 days) · Wirehouse to affiliated broker-dealer or bank
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address