DFX Intelligence
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Feed of 09/14/2026
At current firm
12 y
since Feb 4, 2014
In the industry
26 y
since Jul 8, 2000 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• A•••••• state registered currentsince Feb 4, 2014 · Irvine, Ca
- L•• A•••••• state registeredMay 31, 2012 to Dec 31, 2013 · Clovis, Ca
- O•••• F•• I••• formerNov 5, 2002 to Aug 18, 2003 · Fresno, Ca
- S••••• S••••••••• C••••••••• unclassifiedAug 29, 2000 to Aug 30, 2002 · Fresno, Ca
Moves
a registration end followed by a registration begin elsewhere
- O•••• F•• I••• to L•• A••••••left Aug 18, 2003, registered May 31, 2012 (3209 days) · Other
- S••••• S••••••••• C••••••••• to O•••• F•• I•••left Aug 30, 2002, registered Nov 5, 2002 (67 days) · Other
Signals
No dated event on this person.
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
- STATE REGISTEREDderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address