DFX Intelligence
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Registered advisor
A•••• R• N••••••
Feed of 09/14/2026
Also filed as A•••• R•••••• N••••••
At current firm
2 y
since Oct 12, 2023
In the industry
28 y
since Dec 9, 1997 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 12, 2023 · San Francisco, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerMay 7, 2012 to Mar 17, 2025 · Palo Alto, Ca
- C•••••• S••••• • C••• I••• national BDMar 4, 2011 to Apr 25, 2012 · Menlo Park, Ca
- C•••••• S••••• • C••• I••• national BDDec 28, 1999 to Jan 21, 2003 · Menlo Park, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••left Mar 17, 2025, registered Oct 12, 2023 (-522 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to J••• M••••• P•••••• W••••• A••••••• L••left Apr 25, 2012, registered May 7, 2012 (12 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address