DFX Intelligence
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Registered advisor
C••••••••• E••••• C••••••
Feed of 09/14/2026
Also filed as C•••• E••••• C••••••••• E• C••••••
At current firm
4 y
since Sep 16, 2022
In the industry
26 y
since Oct 8, 1999 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Sep 16, 2022 · Corte Madera, Ca
- M••••• S•••••• wirehouseAug 6, 2013 to Oct 6, 2022 · San Rafael, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Aug 6, 2013 · San Francisco, Ca
- W•••• F•••• I••••••••• L•• unclassifiedSep 22, 2008 to Jan 3, 2011 · San Francisco, Ca
- W••• I••••••••• I••• unclassifiedFeb 22, 2006 to Oct 9, 2008 · Burlingame, Ca
- S••••••••• A•••••• A•••••••• I••• formerDec 13, 2002 to Jul 1, 2003 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to W•••• F•••• A•••••••left Oct 6, 2022, registered Sep 16, 2022 (-20 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to M••••• S••••••left Aug 6, 2013, registered Aug 6, 2013 (0 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- W••• I••••••••• I••• to W•••• F•••• I••••••••• L••left Oct 9, 2008, registered Sep 22, 2008 (-17 days) · Other
- S••••••••• A•••••• A•••••••• I••• to W••• I••••••••• I•••left Jul 1, 2003, registered Feb 22, 2006 (967 days) · Other
Signals
- ••• LockedOct 6, 2022 · Advisor changed firm · fact
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