DFX Intelligence
RIA Intelligence
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Registered advisor
C•••• J••••••• P•••••••
Feed of 09/15/2026
At current firm
0 y
since Dec 19, 2025
In the industry
22 y
since Jul 28, 2004 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- B•••••••• I••••••••• G•••• independent RIA currentsince Dec 19, 2025 · Phoenix, Az
- B•••••••• A•••• M••••••••• L•• independent RIAApr 19, 2016 to Jun 30, 2023 · Palm Desert, Ca
- T••• I••••••••• A•••••••• L•• independent RIAMar 5, 2015 to Mar 9, 2016 · Laguna Niguel, Ca
- C••••• • A••••••••• I••• independent RIAMar 17, 2014 to Feb 27, 2015 · Carlsbad, Ca
- O••••••••• • C•• I••• BD affiliatedDec 8, 2011 to Mar 17, 2014 · Newport Beach, Ca
- A•••••• A••••••• S••••••• formerMay 26, 2011 to Dec 20, 2011 · Rancho Mirage, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 11, 2011 · Indian Wells, Ca
- M••••• S•••••• • C•• L•• unclassifiedNov 2, 2007 to Jun 1, 2009 · Palm Desert, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 29, 2004 to Oct 29, 2007 · Palm Springs, Ca
Moves
a registration end followed by a registration begin elsewhere
- B•••••••• A•••• M••••••••• L•• to B•••••••• I••••••••• G••••left Jun 30, 2023, registered Dec 19, 2025 (903 days) · RIA to RIA · moved with a team
- T••• I••••••••• A•••••••• L•• to B•••••••• A•••• M••••••••• L••left Mar 9, 2016, registered Apr 19, 2016 (41 days) · Other · moved with a team
- C••••• • A••••••••• I••• to T••• I••••••••• A•••••••• L••left Feb 27, 2015, registered Mar 5, 2015 (6 days) · Other · moved with a team
- O••••••••• • C•• I••• to C••••• • A••••••••• I•••left Mar 17, 2014, registered Mar 17, 2014 (0 days) · Other
- A•••••• A••••••• S••••••• to O••••••••• • C•• I•••left Dec 20, 2011, registered Dec 8, 2011 (-12 days) · Other
- M••••• S•••••• to A•••••• A••••••• S•••••••left Feb 11, 2011, registered May 26, 2011 (104 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Oct 29, 2007, registered Nov 2, 2007 (4 days) · Other
Signals
- C•••• J••••••• P••••••• left B•••••••• A•••• M••••••••• L•• for B•••••••• I••••••••• G•••• (registered 2025-12-19)Jun 30, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address