DFX Intelligence
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Registered advisor
D••••• A•••• P••••••••
Feed of 09/14/2026
Also filed as D•• P••••••••
At current firm
17 y
since Jun 1, 2009
In the industry
24 y
since Apr 22, 2002 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- M••••• S•••••• wirehouse currentsince Jun 1, 2009 · San Francisco, Ca
- M••••• S•••••• • C•• L•• unclassifiedFeb 13, 2009 to Jun 1, 2009 · San Francisco, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedApr 11, 2008 to Feb 11, 2009 · San Francisco, Ca
- W•••• F•••• I••••••••• L•• unclassifiedSep 1, 2004 to May 4, 2005 · Palo Alto, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 26, 2002 to Aug 18, 2004 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to M••••• S•••••• • C•• L••left Feb 11, 2009, registered Feb 13, 2009 (2 days) · Other
- W•••• F•••• I••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left May 4, 2005, registered Apr 11, 2008 (1073 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• I••••••••• L••left Aug 18, 2004, registered Sep 1, 2004 (14 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address