DFX Intelligence
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Registered advisor
R••••• T••• C•••
Feed of 09/14/2026
At current firm
4 y
since Sep 15, 2022
In the industry
30 y
since Mar 25, 1996 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
5
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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 15, 2022 · Westlake Village, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 23, 2001 to Sep 19, 2022 · Malibu, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Sep 19, 2022, registered Sep 15, 2022 (-4 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedSep 19, 2022 · Advisor changed firm · fact
Transition signals
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