DFX Intelligence
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Registered advisor
T••••• S•••• D•••••
Feed of 09/15/2026
Also filed as T••••• S•••• D••••••• S•••• D•••••
At current firm
6 y
since Jul 23, 2020
In the industry
29 y
since Aug 1, 1997 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
2
current registrations
Exams
S66, 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
- S••••••• F•••••••• G•••• independent RIA currentsince Apr 26, 2024 · San Diego, Ca
- L•• F•••••••• L•• BD affiliated currentsince Jul 23, 2020 · Portsmouth, Nh
- N••••••••• M••••• I••••••••• S••••••••• no RAUMMar 2, 2006 to Jul 24, 2020 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to L•• F•••••••• L••left Jul 24, 2020, registered Jul 23, 2020 (-1 days) · Other · moved with a team
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