DFX Intelligence
RIA Intelligence
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Registered advisor
P••• A••••• S•••••
Feed of 09/15/2026
At current firm
12 y
since Dec 19, 2013
In the industry
29 y
since Jan 16, 1997 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Dec 19, 2013 · Phoenix, Az
- R•• C•••••• M••••••• L•• national BDMar 14, 2002 to Apr 1, 2005 · Scottsdale, Az
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Apr 1, 2005, registered Dec 19, 2013 (3184 days) · Affiliated broker-dealer or bank to another
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address