DFX Intelligence
RIA Intelligence
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Registered advisor
B•••• D•••• L•••••••
Feed of 09/14/2026
At current firm
10 y
since Sep 28, 2015
In the industry
30 y
since Oct 9, 1995 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Sep 28, 2015 · San Diego, Ca
- H•••••• S••••••••• I••• BD affiliatedDec 10, 2008 to Oct 23, 2015 · San Diego, Ca
- M••• S•••• • C••• L••• unclassifiedJan 28, 2004 to Dec 23, 2008 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- H•••••• S••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Oct 23, 2015, registered Sep 28, 2015 (-25 days) · Other · moved with a team
- M••• S•••• • C••• L••• to H•••••• S••••••••• I•••left Dec 23, 2008, registered Dec 10, 2008 (-13 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address