DFX Intelligence
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Registered advisor
S•••• A••• A•••••
Feed of 09/14/2026
Also filed as S•••• A• A•••••
At current firm
19 y
since Apr 18, 2007
In the industry
25 y
since May 30, 2001 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
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
- W•••• F•••• A••••••• wirehouse currentsince Apr 18, 2007 · Beverly Hills, Ca
- W•••• F•••• I••••••••• L•• unclassifiedSep 20, 2004 to Apr 16, 2007 · Bonita, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Apr 16, 2007, registered Apr 18, 2007 (2 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address