DFX Intelligence
RIA Intelligence
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Registered advisor
C•••• L••••• W••••••
Feed of 09/14/2026
At current firm
3 y
since Mar 21, 2023
In the industry
27 y
since Nov 21, 1998 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2023 · El Segundo, Ca
- W••••••• F•••••••• S•••••••• I••• formerOct 17, 2014 to Jun 23, 2015 · Atlanta, Ga
- F•• S••••••••• C••••••••• formerJul 20, 2007 to Jun 23, 2015 · Atlanta, Ga
- T• A••••••••• I••• formerSep 9, 2003 to Sep 27, 2005 · Orlando, Fl
Moves
a registration end followed by a registration begin elsewhere
- W••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Jun 23, 2015, registered Mar 21, 2023 (2828 days) · Other
- F•• S••••••••• C••••••••• to W••••••• F•••••••• S•••••••• I•••left Jun 23, 2015, registered Oct 17, 2014 (-249 days) · Other
- T• A••••••••• I••• to F•• S••••••••• C•••••••••left Sep 27, 2005, registered Jul 20, 2007 (661 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address