DFX Intelligence
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Registered advisor
S•••• S• S•• L••
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as S•••• S•••• O••••••• S• L•••••••• S• S•• O••••••• S•••• L••
At current firm
9 y
since May 3, 2017
In the industry
24 y
since Feb 23, 2002 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince May 3, 2017 · Honolulu, Hi
- B••••••• I••••••••• S•••••••• I••• ••••• formerAug 17, 2012 to May 2, 2017 · Honolulu, Hi
- L•• F•••••••• L•• BD affiliatedJul 5, 2011 to Aug 20, 2012 · Honolulu, Hi
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedSep 3, 2010 to Jul 5, 2011 · Honolulu, Hi
- B••••••• I••••••••• S•••••••• I••• ••••• formerJun 10, 2008 to Aug 12, 2010 · Honolulu, Hi
Moves
a registration end followed by a registration begin elsewhere
- B••••••• I••••••••• S•••••••• I••• ••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 2, 2017, registered May 3, 2017 (1 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left Aug 20, 2012, registered Aug 17, 2012 (-3 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Jul 5, 2011, registered Jul 5, 2011 (0 days) · corporate re-registration, not a move
- B••••••• I••••••••• S•••••••• I••• ••••• to U•••• F•••••••• S••••••• G••••• I•••left Aug 12, 2010, registered Sep 3, 2010 (22 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address