DFX Intelligence
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Registered advisor
R••••• E•••••• B•••••
Feed of 09/14/2026
At current firm
16 y
since Oct 12, 2009
In the industry
28 y
since Feb 2, 1998 (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
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
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Oct 12, 2009 · Glendale, Ca
- B••••• F•••••••• unclassifiedJan 2, 2009 to Sep 9, 2009 · Oxnard, Ca
- M•• F•••••••• S•••••••• I••• formerNov 2, 2007 to Jul 21, 2008 · Carlsbad, Ca
Moves
a registration end followed by a registration begin elsewhere
- B••••• F•••••••• to V•••• F•••••••• A•••••••• I•••left Sep 9, 2009, registered Oct 12, 2009 (33 days) · Other
- M•• F•••••••• S•••••••• I••• to B••••• F••••••••left Jul 21, 2008, registered Jan 2, 2009 (165 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
- 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