DFX Intelligence
RIA Intelligence
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Registered advisor
F•••• D•••
Feed of 09/14/2026
Also filed as F•••• D•••
At current firm
1 y
since Jul 10, 2025
In the industry
27 y
since Jul 9, 1999 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- A•••• G••••• F••••• O•••••• independent RIA currentsince Jul 10, 2025 · Palo Alto, Ca
- U•• F•••••••• S••••••• I••• wirehouseNov 28, 2008 to May 21, 2025 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 8, 2003 to Dec 2, 2008 · San Francisco, Ca
- M••••• S•••••• D• I••• unclassifiedSep 30, 1999 to Sep 10, 2003 · Pleasanton, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to A•••• G••••• F••••• O••••••left May 21, 2025, registered Jul 10, 2025 (50 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Dec 2, 2008, registered Nov 28, 2008 (-4 days) · Wirehouse to wirehouse
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 10, 2003, registered Sep 8, 2003 (-2 days) · Other
Signals
- F•••• D••• left U•• F•••••••• S••••••• I••• for A•••• G••••• F••••• O•••••• (registered 2025-07-10)May 21, 2025 · 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address