DFX Intelligence
RIA 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•••• A•••• U••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/15/2026
At current firm
7 y
since May 21, 2019
In the industry
31 y
since Jan 27, 1995 (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
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
- W•••• I••••••••• A•••••••• L•• other currentsince May 21, 2019 · Santa Barbara, Ca
- I••••••••• F•••••••• P••••••• BD affiliatedAug 15, 2012 to Jul 30, 2019 · Orange, Ca
- L•• F•••••••• L•• BD affiliatedDec 17, 2010 to Jan 25, 2016 · Orange, Ca
- M•• F•••••••• S•••••••• I••• formerDec 15, 2005 to Dec 22, 2010 · Irvine, Ca
Moves
a registration end followed by a registration begin elsewhere
- I••••••••• F•••••••• P••••••• to W•••• I••••••••• A•••••••• L••left Jul 30, 2019, registered May 21, 2019 (-70 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•• F•••••••• L•• to I••••••••• F•••••••• P•••••••left Jan 25, 2016, registered Aug 15, 2012 (-1258 days) · Other · moved with a team
- M•• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Dec 22, 2010, registered Dec 17, 2010 (-5 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
- Other adviserderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address