DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
S••••• R•••••• B••••••
Feed of 09/14/2026
At current firm
2 y
since Jun 14, 2024
In the industry
28 y
since Jul 22, 1998 (earliest exam, job or registration)
Prior registered firms
2
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
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Arroyo Grande, Ca
- S••••••••• A•••••• A•••••••• I••• formerDec 23, 2008 to Jun 14, 2024 · Arroyo Grande, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedApr 12, 2004 to Jan 9, 2009 · Woodland Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- V•••• F•••••••• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Jan 9, 2009, registered Dec 23, 2008 (-17 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address