DFX Intelligence
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Registered advisor
M•••• R•••• C•••••••
Feed of 09/14/2026
At current firm
1 y
since Mar 31, 2025
In the industry
28 y
since Aug 14, 1998 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · San Marcos, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 15, 2022 to Mar 31, 2025 · San Marcos, Ca
- L•• F•••••••• L•• BD affiliatedOct 12, 2005 to Apr 12, 2022 · San Diego, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedNov 14, 2003 to Feb 9, 2005 · San Diego, Ca
- M••••• S•••••• D• I••• unclassifiedMar 22, 2001 to Nov 18, 2003 · Fallbrook, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 12, 2022, registered Jul 15, 2022 (94 days) · RIA to affiliated broker-dealer or bank · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Feb 9, 2005, registered Oct 12, 2005 (245 days) · Other
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Nov 18, 2003, registered Nov 14, 2003 (-4 days) · Other
Signals
- ••• LockedApr 12, 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address