DFX Intelligence
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Registered advisor
C•••• C•••••
Feed of 09/14/2026
Also filed as C•••• M••••• C••••••••• M• C•••••
At current firm
2 y
since Feb 2, 2024
In the industry
32 y
since Sep 20, 1994 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
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
- W•••• F•••• A••••••• wirehouse currentsince Feb 2, 2024 · Reno, Nv
- W•••• F•••• A••••••• wirehouseMay 16, 2016 to Feb 2, 2024 · San Luis Obispo, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 13, 2016 · San Luis Obispo, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 14, 2009 to Jun 1, 2009 · San Luis Obispo, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMay 15, 2001 to Apr 22, 2009 · San Luis Obispo, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Feb 2, 2024, registered Feb 2, 2024 (0 days) · channel change inside one enterprise, not a move · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left Jun 13, 2016, registered May 16, 2016 (-28 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• I••••••••• L•• to M••••• S•••••• • C•• L••left Apr 22, 2009, registered Apr 14, 2009 (-8 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
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address