DFX Intelligence
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Registered advisor
S••••• T•••••• I••••••
Feed of 09/15/2026
Also filed as S••••• I••••••
At current firm
1 y
since Jul 3, 2025
In the industry
32 y
since Sep 14, 1994 (earliest exam, job or registration)
Prior registered firms
5
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jul 3, 2025 · Danville, Ca
- O•••• W•••••• I••• BD affiliatedJan 19, 2024 to Jul 10, 2025 · Danville, Ca
- W••••••• F•••••••• S•••••••• I••• formerAug 8, 2014 to Jan 19, 2024 · Danville, Ca
- L•• F•••••••• L•• BD affiliatedApr 4, 2007 to Sep 8, 2014 · Danville, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 2, 2004 to Apr 12, 2007 · Pleasanton, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 8, 1997 to Apr 8, 2004 · Pleasanton, Ca
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to L•• F•••••••• L••left Jul 10, 2025, registered Jul 3, 2025 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Sep 8, 2014, registered Aug 8, 2014 (-31 days) · Other
- C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••left Apr 12, 2007, registered Apr 4, 2007 (-8 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Apr 8, 2004, registered Apr 2, 2004 (-6 days) · Other
Signals
- ••• LockedJul 10, 2025 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address