DFX Intelligence
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Registered advisor
C••••• L••• Y••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as C••••• L••• S••••••••• L• Y••••
At current firm
4 y
since May 11, 2022
In the industry
28 y
since Jun 23, 1998 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
2
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Aug 26, 2025 · Incline Village, Nv
- R••••••••• C•••••• M••••••••• BD affiliated currentsince May 11, 2022 · Los Angeles, Ca
- M••••• S•••••• wirehouseOct 26, 2012 to May 26, 2022 · Palo Alto, Ca
- U•• F•••••••• S••••••• I••• wirehouseNov 1, 2010 to Nov 11, 2010 · Los Gatos, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedAug 7, 2009 to Oct 29, 2012 · Campbell, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 11, 1999 to Aug 3, 2009 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R••••••••• C•••••• M•••••••••left May 26, 2022, registered May 11, 2022 (-15 days) · Wirehouse to affiliated broker-dealer or bank
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to U•• F•••••••• S••••••• I•••left Oct 29, 2012, registered Nov 1, 2010 (-728 days) · Other
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Nov 11, 2010, registered Oct 26, 2012 (715 days) · Wirehouse to wirehouse
- A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 3, 2009, registered Aug 7, 2009 (4 days) · Other
Signals
- ••• LockedMay 26, 2022 · Advisor changed firm · fact
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
- 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