DFX Intelligence
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Registered advisor
L••• A•••••• I••••••••
Feed of 09/14/2026
At current firm
11 y
since Apr 28, 2015
In the industry
24 y
since Jul 12, 2002 (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
- U•• F•••••••• S••••••• I••• wirehouse currentsince Apr 28, 2015 · San Diego, Ca
- R•• C•••••• M••••••• L•• national BDMay 8, 2014 to May 14, 2015 · San Diego, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to May 14, 2014 · San Diego, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 13, 2006 to Jun 1, 2009 · San Diego, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 22, 2003 to Dec 15, 2006 · National City, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJul 15, 2002 to Nov 4, 2003 · El Cajon, Ca
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to U•• F•••••••• S••••••• I•••left May 14, 2015, registered Apr 28, 2015 (-16 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M••••• S•••••• to R•• C•••••• M••••••• L••left May 14, 2014, registered May 8, 2014 (-6 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to C•••••••• G••••• M•••••• I•••left Dec 15, 2006, registered Dec 13, 2006 (-2 days) · Other
- W•••• F•••• I••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Nov 4, 2003, registered Sep 22, 2003 (-43 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address