DFX Intelligence
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Registered advisor
P••• N•••••
Feed of 09/14/2026
Also filed as P••• N••••••••• N••••••••• N••••••••• N•• N••••••••• H••• N•••••
At current firm
9 y
since Aug 25, 2017
In the industry
32 y
since Feb 10, 1994 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 25, 2017 · San Jose, Ca
- N• W••••• M••••••••• I•• formerJan 10, 2015 to Aug 30, 2017 · San Jose, Ca
- L•• F•••••••• L•• BD affiliatedAug 24, 2007 to Jan 20, 2015 · Cupertino, Ca
- A•••••• A••••• F•••••••• P•••••••• L•• unclassifiedMar 29, 2004 to Sep 18, 2007 · Cupertino, Ca
- C••• F•••••••• S•••••••• L••• formerDec 12, 1998 to Dec 1, 2006 · Cupertino, Ca
Moves
a registration end followed by a registration begin elsewhere
- N• W••••• M••••••••• I•• to A••••••••• F•••••••• S•••••••• L••left Aug 30, 2017, registered Aug 25, 2017 (-5 days) · Other · moved with a team
- L•• F•••••••• L•• to N• W••••• M••••••••• I••left Jan 20, 2015, registered Jan 10, 2015 (-10 days) · Other · moved with a team
- A•••••• A••••• F•••••••• P•••••••• L•• to L•• F•••••••• L••left Sep 18, 2007, registered Aug 24, 2007 (-25 days) · Other
- C••• F•••••••• S•••••••• L••• to A•••••• A••••• F•••••••• P•••••••• L••left Dec 1, 2006, registered Mar 29, 2004 (-977 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address