DFX Intelligence

RIA Intelligence

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Registered advisor

A••••• C••

C•••••• S••••• • C••• I•••national BDSan Diego, Ca dual registrantIAPD 3006117
Feed of 09/15/2026
At current firm
1 y
since Apr 11, 2025
In the industry
27 y
since Oct 13, 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
S63, S66, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
  • B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
    Jun 4, 2004 to Oct 8, 2009 · San Diego, Ca
  • M••••• S•••••• D• I••• unclassified
    Aug 23, 2002 to Jun 8, 2004 · La Jolla, Ca
Moves
a registration end followed by a registration begin elsewhere
  • B••• O• A•••••• I••••••••• S•••••••• I••• to C•••••• S••••• • C••• I•••
    left Oct 8, 2009, registered Apr 11, 2025 (5664 days) · Other
  • M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
    left Jun 8, 2004, registered Jun 4, 2004 (-4 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
National broker-dealer RIAderived
Years in industry
27derivedfrom the earliest dated exam, employment or registration
Not published
disclosure flags, outside business text, branch street address