DFX Intelligence
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Registered advisor
R••••• B•••••••
Feed of 09/14/2026
Also filed as B•• B••••••••• D• B••••••••• D•••• B•••••••
At current firm
3 y
since Jun 29, 2023
In the industry
28 y
since May 4, 1998 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Soquel, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to May 17, 2021 · Monterey, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 14, 2009 to Oct 1, 2012 · Aptos, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedNov 24, 2008 to Mar 18, 2009 · Concord, Ca
- W•••• F•••• A••••••• wirehouseFeb 1, 2007 to Nov 7, 2008 · El Cajon, Ca
- C••••••• I••••••••• S••••••• unclassifiedJul 14, 2004 to Oct 26, 2005 · Capitola, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to C••••• I••••••••• A••••••• L••left May 17, 2021, registered Jun 29, 2023 (773 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••left Mar 18, 2009, registered May 14, 2009 (57 days) · Other
- W•••• F•••• A••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Nov 7, 2008, registered Nov 24, 2008 (17 days) · Other
- C••••••• I••••••••• S••••••• to W•••• F•••• A•••••••left Oct 26, 2005, registered Feb 1, 2007 (463 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
- 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