DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
C••• H••••••• E••••
Feed of 09/15/2026
At current firm
17 y
since May 26, 2009
In the industry
28 y
since Jun 12, 1998 (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
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
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince May 26, 2009 · Roseville, Ca
- W•••• F•••• I••••••••• L•• unclassifiedAug 23, 2006 to Jun 2, 2009 · Roseville, Ca
- A• G• E•••••• • S•••• I••• unclassifiedJun 17, 2003 to Aug 22, 2006 · Lincoln Hills, Ca
- C•••••• S••••• • C••• I••• national BDApr 20, 2001 to Apr 24, 2003 · Sacramento, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• I••••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Jun 2, 2009, registered May 26, 2009 (-7 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• I••••••••• L••left Aug 22, 2006, registered Aug 23, 2006 (1 days) · Other
- C•••••• S••••• • C••• I••• to A• G• E•••••• • S•••• I•••left Apr 24, 2003, registered Jun 17, 2003 (54 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
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