DFX Intelligence
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Registered advisor
S•••••• T•
Feed of 09/14/2026
Also filed as P•• C• T••••••••• C• T••••••••• C• T••••••••• C• T••••••••• C• P•• T•
At current firm
1 y
since Nov 4, 2024
In the industry
26 y
since Jan 24, 2000 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Nov 4, 2024 · San Francisco, Ca
- J••• M••••• S••••••••• L•• wirehouseSep 26, 2014 to Nov 2, 2024 · San Francisco,, Ca
- U•• F•••••••• S••••••• I••• wirehouseFeb 18, 2014 to Sep 17, 2014 · San Francisco, Ca
- S••••• W••••• A•••••••• I••• no RAUMJan 3, 2012 to Nov 19, 2013 · San Francisco, Ca
- C•••••• S••••• • C••• I••• national BDSep 20, 2005 to Dec 31, 2011 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Nov 2, 2024, registered Nov 4, 2024 (2 days) · Wirehouse to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to J••• M••••• S••••••••• L••left Sep 17, 2014, registered Sep 26, 2014 (9 days) · Wirehouse to wirehouse
- S••••• W••••• A•••••••• I••• to U•• F•••••••• S••••••• I•••left Nov 19, 2013, registered Feb 18, 2014 (91 days) · Other
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left Dec 31, 2011, registered Jan 3, 2012 (3 days) · corporate re-registration, not a move
Signals
- ••• LockedNov 2, 2024 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address