DFX Intelligence
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Registered advisor
C••• P•••••• J••••••••
Feed of 09/15/2026
Also filed as J••••••••• P•••••• F••••••••• P•••••• J••••••••• J••••••••
At current firm
6 y
since Jun 26, 2020
In the industry
25 y
since May 17, 2001 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Jun 26, 2020 · Walnut Creek, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMar 26, 2012 to Jul 2, 2020 · Walnut Creek, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Mar 27, 2012 · Oakland, Ca
- W•••• F•••• I••••••••• L•• unclassifiedFeb 16, 2006 to Jan 3, 2011 · Piedmont, Ca
- C••••••• I••••••••• S••••••• unclassifiedMar 12, 2003 to Feb 17, 2006 · El Cerrito, Ca
- O•••• F•• I••• formerMay 29, 2001 to Mar 11, 2003 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Jul 2, 2020, registered Jun 26, 2020 (-6 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Mar 27, 2012, registered Mar 26, 2012 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- C••••••• I••••••••• S••••••• to W•••• F•••• I••••••••• L••left Feb 17, 2006, registered Feb 16, 2006 (-1 days) · Other
- O•••• F•• I••• to C••••••• I••••••••• S•••••••left Mar 11, 2003, registered Mar 12, 2003 (1 days) · Other
Signals
No dated event on this person.
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