DFX Intelligence
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Registered advisor
W••••• C••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as B••••• C••••••••• C••••••••• C••••
At current firm
4 y
since May 27, 2022
In the industry
25 y
since Feb 21, 2001 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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 27, 2022 · San Mateo, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 13, 2015 to May 31, 2022 · San Mateo, Ca
- W•••• F•••• A••••••• wirehouseNov 8, 2011 to Feb 18, 2015 · San Francisco, Ca
- U••• B•••••• I••••••••• I••• formerJan 25, 2010 to Nov 7, 2011 · Cupertino, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jan 14, 2010 · Fremont, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 4, 2008 to Oct 23, 2009 · Fremont, Ca
All 7 prior registrationsShow fewer
- C••••••••• I••••••••• S•••••••• I••• unclassifiedJul 5, 2007 to Sep 8, 2008 · San Francisco, Ca
- C••••••• I••••••••• S••••••• unclassifiedOct 28, 2003 to Sep 21, 2005 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left May 31, 2022, registered May 27, 2022 (-4 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Feb 18, 2015, registered Feb 13, 2015 (-5 days) · Other
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Nov 7, 2011, registered Nov 8, 2011 (1 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• I••••••••• I•••left Jan 14, 2010, registered Jan 25, 2010 (11 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
All 7 movesShow fewer
- C••••••••• I••••••••• S•••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Sep 8, 2008, registered Sep 4, 2008 (-4 days) · Other
- C••••••• I••••••••• S••••••• to C••••••••• I••••••••• S•••••••• I•••left Sep 21, 2005, registered Jul 5, 2007 (652 days) · Other
Signals
- ••• LockedMay 31, 2022 · 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address