DFX Intelligence
RIA Intelligence
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Feed of 09/14/2026
At current firm
12 y
since May 30, 2014
In the industry
45 y
since Jan 1, 1981 (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
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- D••••• A••• R• state registered currentsince May 30, 2014 · San Jose, Ca
- N•• A•••••• S•••••••• L•• formerOct 7, 2008 to Mar 31, 2010 · Campbell, Ca
- S••••••• F•••••••• S•••••••• I••• formerMar 29, 2001 to Feb 21, 2006 · Milpitas, Ca
Moves
a registration end followed by a registration begin elsewhere
- N•• A•••••• S•••••••• L•• to D••••• A••• R•left Mar 31, 2010, registered May 30, 2014 (1521 days) · Other
- S••••••• F•••••••• S•••••••• I••• to N•• A•••••• S•••••••• L••left Feb 21, 2006, registered Oct 7, 2008 (959 days) · Other
Signals
No dated event on this person.
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
- STATE REGISTEREDderived
- Years in industry
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address