DFX Intelligence
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Registered advisor
R•••••• M••••• I••••••
Feed of 09/14/2026
At current firm
3 y
since May 22, 2023
In the industry
28 y
since Feb 11, 1998 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince May 22, 2023 · Fresno, Ca
- E•••••••• A•••••••• L•• national BDJul 31, 2018 to Jun 5, 2023 · Fresno, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedFeb 12, 2014 to Aug 8, 2018 · Fresno, Ca
- A••••••• G•••••• F•••••••• A•••••••• I••• unclassifiedAug 6, 2002 to May 2, 2009 · Sacramento, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedSep 4, 2001 to Feb 13, 2014 · Modesto, Ca
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jun 5, 2023, registered May 22, 2023 (-14 days) · Affiliated broker-dealer or bank to another · moved with a team
- C•••••••• I••••••••• R••••••• A•••••••• I••• to E•••••••• A•••••••• L••left Aug 8, 2018, registered Jul 31, 2018 (-8 days) · Affiliated broker-dealer or bank to another · moved with a team
- V•••• F•••••••• A•••••••• I••• to A••••••• G•••••• F•••••••• A•••••••• I•••left Feb 13, 2014, registered Aug 6, 2002 (-4209 days) · Other
- A••••••• G•••••• F•••••••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 2, 2009, registered Feb 12, 2014 (1747 days) · Other
Signals
- ••• LockedJun 5, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address