DFX Intelligence
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Registered advisor
D•••• L•• O•••
Feed of 09/14/2026
At current firm
11 y
since Jul 27, 2015
In the industry
28 y
since Sep 25, 1997 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 27, 2015 · Auburn, Ca
- W•••• F•••• A••••••• wirehouseAug 19, 2005 to Jul 29, 2015 · Grass Valley, Ca
- M••••• S•••••• D• I••• unclassifiedAug 24, 1998 to Aug 22, 2005 · Auburn, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jul 29, 2015, registered Jul 27, 2015 (-2 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• D• I••• to W•••• F•••• A•••••••left Aug 22, 2005, registered Aug 19, 2005 (-3 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address