DFX Intelligence
RIA Intelligence
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Registered advisor
S••• P•••••• H••••
Feed of 09/14/2026
At current firm
6 y
since Jan 10, 2020
In the industry
29 y
since Feb 5, 1997 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- P••••••••• S••••••••• C••••••••• independent RIA currentsince Jan 10, 2020 · Carpinteria, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerDec 20, 2002 to Apr 30, 2015 · Sacramento, Ca
Moves
a registration end followed by a registration begin elsewhere
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to P••••••••• S••••••••• C•••••••••left Apr 30, 2015, registered Jan 10, 2020 (1716 days) · Other
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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address