DFX Intelligence
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Registered advisor
A•••••• A•••• B••••••• R•••
Feed of 09/14/2026
Also filed as A••• A•••• B••••••••• A•••• B••••••••• A•••• B••••••• C••••••••• A• C••••••••• A• R•••
At current firm
12 y
since Jan 22, 2014
In the industry
24 y
since Jan 25, 2002 (earliest exam, job or registration)
Prior registered firms
4
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
- S••••• W••••• A•••••••• I••• no RAUM currentsince Jan 22, 2014 · Phoenix, Az
- L•• F•••••••• L•• BD affiliatedJun 20, 2012 to Dec 16, 2013 · Glendale, Az
- U••• F•••••••• P••••••• S••••••• formerApr 15, 2010 to Oct 5, 2011 · Phoenix, Az
- C•••••• S••••• • C••• I••• national BDAug 15, 2003 to Mar 17, 2010 · Federal Way, Wa
- A••••••••• F•••••••• S•••••••• L•• national BDJan 29, 2002 to Jul 25, 2003 · Seattle, Wa
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to S••••• W••••• A•••••••• I•••left Dec 16, 2013, registered Jan 22, 2014 (37 days) · Other
- U••• F•••••••• P••••••• S••••••• to L•• F•••••••• L••left Oct 5, 2011, registered Jun 20, 2012 (259 days) · Other
- C•••••• S••••• • C••• I••• to U••• F•••••••• P••••••• S•••••••left Mar 17, 2010, registered Apr 15, 2010 (29 days) · Affiliated broker-dealer or bank to a newly registered adviser
- A••••••••• F•••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••left Jul 25, 2003, registered Aug 15, 2003 (21 days) · Affiliated broker-dealer or bank to another
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
- No RAUM reportedderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address