DFX Intelligence
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Registered advisor
S•••• S••• A••••
Feed of 09/14/2026
Also filed as S••• A•••••••• A••••••••• A••••••••• A••••••••• A••••
At current firm
9 y
since Jan 6, 2017
In the industry
28 y
since Feb 3, 1998 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- L•• F•••••••• L•• BD affiliated currentsince Jan 6, 2017 · San Diego, Ca
- W•••• F•••• A••••••• wirehouseApr 18, 2014 to Jan 11, 2017 · San Diego, Ca
- E••••• J•••• national BDFeb 28, 2008 to Apr 21, 2014 · San Ramon, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jan 11, 2017, registered Jan 6, 2017 (-5 days) · Other
- E••••• J•••• to W•••• F•••• A•••••••left Apr 21, 2014, registered Apr 18, 2014 (-3 days) · Affiliated broker-dealer or bank to wirehouse
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address