DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
R••••• W••• L•••
Feed of 09/14/2026
At current firm
1 y
since Sep 5, 2025
In the industry
29 y
since Feb 22, 1997 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · Las Vegas, Nv
- A•••••• A••••••• S••••••• formerSep 25, 2007 to Sep 5, 2025 · Pleasanton, Ca
- C•••••• S••••• • C••• I••• national BDFeb 20, 2007 to Aug 22, 2007 · Walnut Creek, Ca
- M••••• S•••••• D• I••• unclassifiedJun 17, 2002 to Dec 6, 2002 · Hayward, Ca
Moves
a registration end followed by a registration begin elsewhere
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to A•••••• A••••••• S•••••••left Aug 22, 2007, registered Sep 25, 2007 (34 days) · Other
- M••••• S•••••• D• I••• to C•••••• S••••• • C••• I•••left Dec 6, 2002, registered Feb 20, 2007 (1537 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