DFX Intelligence
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Registered advisor
W••••• L•••• D••••••
Feed of 09/14/2026
At current firm
1 y
since Feb 14, 2025
In the industry
25 y
since Oct 13, 2000 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65, S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• W•••••• I••• BD affiliated currentsince Feb 14, 2025 · San Diego, Ca
- M•••••• W••••• M••••••••• I••• unclassifiedMay 1, 2022 to Dec 31, 2024 · San Diego, Ca
- C••••••••• F•••••••• N•••••• national BDApr 25, 2022 to Feb 7, 2025 · San Diego, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedSep 15, 2003 to May 31, 2006 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••••••••• F•••••••• N•••••• to M•••••• W••••• M••••••••• I•••left Feb 7, 2025, registered May 1, 2022 (-1013 days) · Other
- M•••••• W••••• M••••••••• I••• to O•••• W•••••• I•••left Dec 31, 2024, registered Feb 14, 2025 (45 days) · Other
- V•••• F•••••••• A•••••••• I••• to C••••••••• F•••••••• N••••••left May 31, 2006, registered Apr 25, 2022 (5808 days) · Other
Signals
- ••• LockedFeb 7, 2025 · Advisor changed firm · fact
- ••• LockedDec 31, 2024 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
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