DFX Intelligence
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Registered advisor
D••• S••••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
1 y
since Nov 14, 2024
In the industry
25 y
since Nov 3, 2000 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Walnut Creek, Ca
- P•••• S••••••••• L•• no RAUMAug 3, 2021 to Nov 14, 2024 · San Jose, Ca
- A••••• A•• P••••••• S••••••• BD affiliatedOct 6, 2014 to Dec 24, 2019 · San Francisco, Ca
- S••••• W••••• A•••••••• I••• no RAUMJan 3, 2012 to Aug 4, 2014 · San Francisco, Ca
- C•••••• S••••• • C••• I••• national BDOct 26, 2006 to Dec 31, 2011 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- A••••• A•• P••••••• S••••••• to P•••• S••••••••• L••left Dec 24, 2019, registered Aug 3, 2021 (588 days) · Affiliated broker-dealer or bank to another
- S••••• W••••• A•••••••• I••• to A••••• A•• P••••••• S•••••••left Aug 4, 2014, registered Oct 6, 2014 (63 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
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address