DFX Intelligence
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Registered advisor
A•••••• C••••
Feed of 09/14/2026
Also filed as A•••••• T••••• C••••
At current firm
2 y
since Jan 23, 2024
In the industry
25 y
since Aug 14, 2001 (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, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jan 23, 2024 · Playa Del Rey, Ca
- L•• F•••••••• L•• BD affiliatedNov 18, 2014 to Dec 7, 2023 · Playa Del Rey, Ca
- M••••• S•••••• wirehouseAug 13, 2014 to Nov 17, 2014 · Beverly Hills, Ca
- E••••• J•••• national BDAug 13, 2007 to Aug 7, 2014 · Tempe, Az
- S•••••••• F••••••••• I••• formerMar 21, 2006 to May 16, 2007 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Dec 7, 2023, registered Jan 23, 2024 (47 days) · Affiliated broker-dealer or bank to another · moved with a team
- M••••• S•••••• to L•• F•••••••• L••left Nov 17, 2014, registered Nov 18, 2014 (1 days) · Other
- E••••• J•••• to M••••• S••••••left Aug 7, 2014, registered Aug 13, 2014 (6 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• F••••••••• I••• to E••••• J••••left May 16, 2007, registered Aug 13, 2007 (89 days) · Other
Signals
- ••• LockedDec 7, 2023 · 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address