DFX Intelligence
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Registered advisor
S••••• A•••••• D•••••••
Feed of 09/14/2026
Also filed as S••••• A•••••• D••••••••• D••••••••• A•••••• D•••••••
At current firm
4 y
since May 9, 2022
In the industry
20 y
since Nov 30, 2005 (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
S65, 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
- M••••• S•••••• wirehouse currentsince May 9, 2022 · Oakland, Ca
- U•• F•••••••• S••••••• I••• wirehouseJan 29, 2021 to Apr 11, 2022 · Walnut Creek, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerSep 10, 2020 to Feb 2, 2021 · Walnut Creek, Ca
- W•••• F•••• A••••••• wirehouseJun 16, 2020 to Sep 2, 2020 · Walnut Creek, Ca
- M••••• S•••••• • C•• L•• unclassifiedMay 14, 2008 to Feb 17, 2009 · Orinda, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Apr 11, 2022, registered May 9, 2022 (28 days) · Wirehouse to wirehouse · moved with a team
- J••• M••••• P•••••• W••••• A••••••• L•• to U•• F•••••••• S••••••• I•••left Feb 2, 2021, registered Jan 29, 2021 (-4 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- W•••• F•••• A••••••• to J••• M••••• P•••••• W••••• A••••••• L••left Sep 2, 2020, registered Sep 10, 2020 (8 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to W•••• F•••• A•••••••left Feb 17, 2009, registered Jun 16, 2020 (4137 days) · Other
Signals
- ••• LockedApr 11, 2022 · 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address