DFX Intelligence
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Registered advisor
O•••••• O•••••••• O••••••
Feed of 09/14/2026
At current firm
11 y
since Apr 2, 2015
In the industry
28 y
since Jan 21, 1998 (earliest exam, job or registration)
Prior registered firms
6
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
- L•• F•••••••• L•• BD affiliated currentsince Apr 2, 2015 · Anaheim, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedSep 30, 2008 to Apr 2, 2015 · Glendale, Ca
- C••• B•••••••• S•••••••• I••• formerJan 22, 2007 to Sep 29, 2008 · Waverly, Ia
- C••• F•••••••• S•••••••• L••• formerNov 18, 2004 to Jan 24, 2007 · Anaheim, Ca
- C••••••• I••••••••• S••••••• unclassifiedMay 5, 2003 to Nov 3, 2004 · Corona, Ca
- W••• I••••••••• I••• unclassifiedAug 8, 2002 to May 1, 2003 · Upland, Ca
- M••••• S•••••• D• I••• unclassifiedAug 24, 1998 to Aug 8, 2002 · Santa Ana, Ca
Moves
a registration end followed by a registration begin elsewhere
- V•••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left Apr 2, 2015, registered Apr 2, 2015 (0 days) · Other
- C••• B•••••••• S•••••••• I••• to V•••• F•••••••• A•••••••• I•••left Sep 29, 2008, registered Sep 30, 2008 (1 days) · Other
- C••• F•••••••• S•••••••• L••• to C••• B•••••••• S•••••••• I•••left Jan 24, 2007, registered Jan 22, 2007 (-2 days) · Other
- C••••••• I••••••••• S••••••• to C••• F•••••••• S•••••••• L•••left Nov 3, 2004, registered Nov 18, 2004 (15 days) · Other
- W••• I••••••••• I••• to C••••••• I••••••••• S•••••••left May 1, 2003, registered May 5, 2003 (4 days) · Other
- M••••• S•••••• D• I••• to W••• I••••••••• I•••left Aug 8, 2002, registered Aug 8, 2002 (0 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