DFX Intelligence
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Registered advisor
D•••••• O••• B••••
Feed of 09/15/2026
At current firm
3 y
since Sep 29, 2022
In the industry
30 y
since Mar 28, 1996 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince Sep 29, 2022 · Los Gatos, Ca
- M••••• S•••••• wirehouseJan 4, 2012 to Oct 13, 2022 · Santa Cruz, Ca
- C•••••• S••••• • C••• I••• national BDJul 8, 1997 to Jan 10, 2012 · Los Gatos, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Oct 13, 2022, registered Sep 29, 2022 (-14 days) · Wirehouse to wirehouse · moved with a team
- C•••••• S••••• • C••• I••• to M••••• S••••••left Jan 10, 2012, registered Jan 4, 2012 (-6 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedOct 13, 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address