DFX Intelligence
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Registered advisor
R•••• D•••••••••
Feed of 09/14/2026
At current firm
0 y
since Oct 6, 2025
In the industry
26 y
since Jan 24, 2000 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Oct 6, 2025 · Los Angeles, Ca
- W•••• F•••• A••••••• wirehouseMay 11, 2011 to Oct 6, 2025 · Los Angeles, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 8, 2011 · Sherman Oaks, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 13, 2004 to Jun 1, 2009 · Sherman Oaks, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Aug 30, 2004 · Encino, Ca
- P••••••••• E••••• G••••• L•• unclassifiedMar 1, 2000 to Jul 1, 2003 · Encino, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Oct 6, 2025, registered Oct 6, 2025 (0 days) · channel change inside one enterprise, not a move · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left Jun 8, 2011, registered May 11, 2011 (-28 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Aug 30, 2004, registered Aug 13, 2004 (-17 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address