DFX Intelligence

RIA Intelligence

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Registered advisor

W•••••• W••••• A•••••

C••••••••• F•••••••• N••••••national BDTruckee, CaIA-onlyIAPD 4227966

Certified Financial Planner

Feed of 09/14/2026

At current firm

6 y

since Jan 6, 2020

In the industry

26 y

since Sep 11, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••••• F•••••••• N•••••• national BD current
since Jan 6, 2020 · Truckee, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
May 2, 2016 to Jan 10, 2020 · Truckee, Ca
W•••• F•••• A••••••• wirehouse
Jan 1, 2008 to May 5, 2016 · Incline Village, Nv
A• G• E•••••• • S•••• I••• unclassified
Mar 29, 2001 to Jan 1, 2008 · Incline Village, Nv

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••
left Jan 10, 2020, registered Jan 6, 2020 (-4 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••
left May 5, 2016, registered May 2, 2016 (-3 days) · Wirehouse to affiliated broker-dealer or bank
A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
left Jan 1, 2008, registered Jan 1, 2008 (0 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: National broker-dealer RIAderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address