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.
S•••• P••••••
Managing Director/Investmentsat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· La Quinta, Ca IAPD 2365991
As of · the IAPD feed
- At current firm
- 2 y
- In the industry
- 30 y
- Prior registered firms
- 2
- Signals
- 1
since Aug 29, 2024
As of · the IAPD feed
ContactWhat is shown hereOnly business contact points published by the advisor’s firm, on its own site or advisor directory, and matched to this registered advisor with a second fact beyond the name. Nothing is inferred or guessed; an office or team line is labelled as such and never shown as a direct line.
what the firm publishes for this advisor, each with the page it was read from
- Team page
- ••• Lockedreportedwithheld-2firm site, Sep 24, 2026
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Professional profileWhat is shown hereOnly business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
title, designations and roles as the firm prints them
- Title
- Managing Director/Investmentsreportedsonjapremetz.comfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Aug 29, 2024 · La Quinta, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Sep 26, 2024 · Newport Beach, Ca
- P••••••••• E••••• G••••• L•• unclassifiedAug 18, 1998 to Jul 1, 2003 · Newport Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Sep 26, 2024, registered Aug 29, 2024 (-28 days) · Wirehouse to affiliated broker-dealer or bank
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedSep 26, 2024 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address