DFX Intelligence
RIA Intelligence
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Registered advisor
T••• E••• F••••
Personal Financial Specialist
Feed of 09/14/2026
At current firm
14 y
since Mar 27, 2012
In the industry
25 y
since Feb 21, 2001 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
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
- F•••• F•••••••• A••••••• independent RIA currentsince Mar 27, 2012 · Carlsbad, Ca
- L•• F•••••••• L•• BD affiliatedJan 13, 2003 to Oct 11, 2010 · Carlsbad, Ca
- R•• C•••••• M••••••• L•• national BDMay 28, 2002 to Jan 24, 2003 · La Jolla, Ca
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to F•••• F•••••••• A•••••••left Oct 11, 2010, registered Mar 27, 2012 (533 days) · Other
- R•• C•••••• M••••••• L•• to L•• F•••••••• L••left Jan 24, 2003, registered Jan 13, 2003 (-11 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address