DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
A•••• D• S••••
Feed of 09/15/2026
Also filed as A•••• D•••• S••••••••• D• S••••••••• S••••
At current firm
7 y
since Jun 21, 2019
In the industry
27 y
since May 11, 1999 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66, 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
- W•••• F•••• A••••••• wirehouse currentsince Jun 21, 2019 · Beverly Hills, Ca
- M••••• S•••••• wirehouseSep 30, 2009 to Jun 24, 2019 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseApr 25, 2005 to Oct 14, 2009 · Beverly Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to W•••• F•••• A•••••••left Jun 24, 2019, registered Jun 21, 2019 (-3 days) · Wirehouse to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Oct 14, 2009, registered Sep 30, 2009 (-14 days) · Wirehouse to wirehouse
Signals
No dated event on this person.
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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address