DFX Intelligence
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Registered advisor
R••••• B••••
Feed of 09/15/2026
At current firm
14 y
since Sep 10, 2012
In the industry
29 y
since Feb 18, 1997 (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, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Sep 10, 2012 · San Jose, Ca
- M•• F•••••••• S•••••••• I••• formerMar 23, 2009 to Aug 27, 2012 · San Jose, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDDec 15, 1997 to Jan 6, 2009 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•• F•••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 27, 2012, registered Sep 10, 2012 (14 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••left Jan 6, 2009, registered Mar 23, 2009 (76 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address