DFX Intelligence
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Registered advisor
S•••• D•••••••
Certified Financial Planner
Feed of 09/15/2026
At current firm
3 y
since May 18, 2023
In the industry
26 y
since Jan 20, 2000 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- M••••• S•••••• wirehouse currentsince May 18, 2023 · Oakland, Ca
- R•••••• J•••• • A••••••••• I••• national BDMar 9, 2007 to Feb 1, 2024 · Walnut Creek, Ca
- U•• F•••••••• S••••••• I••• wirehouseFeb 23, 2007 to Mar 23, 2007 · Walnut Creek, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 1, 2000 to Mar 6, 2007 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to M••••• S••••••left Feb 1, 2024, registered May 18, 2023 (-259 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Mar 23, 2007, registered Mar 9, 2007 (-14 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Mar 6, 2007, registered Feb 23, 2007 (-11 days) · Other
Signals
- S•••• D••••••• left R•••••• J•••• • A••••••••• I••• for M••••• S•••••• (registered 2023-05-18)Feb 1, 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