DFX Intelligence
RIA Intelligence
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Feed of 09/14/2026
At current firm
6 y
since Apr 8, 2020
In the industry
15 y
since Sep 24, 2010 (earliest exam, job or registration)
Prior registered firms
2
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••• F•••• state registered currentsince Apr 8, 2020 · Fremont, Ca
- T•• T••••• F•••• G••••• L•• state registeredApr 19, 2016 to Mar 26, 2018 · Cupertino, Ca
- T•• C•••••• M••••••••• L•• unclassifiedApr 4, 2011 to Dec 10, 2014 · Fremont, Ca
Moves
a registration end followed by a registration begin elsewhere
- T•• T••••• F•••• G••••• L•• to R••• F••••left Mar 26, 2018, registered Apr 8, 2020 (744 days) · Other
- T•• C•••••• M••••••••• L•• to T•• T••••• F•••• G••••• L••left Dec 10, 2014, registered Apr 19, 2016 (496 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
- STATE REGISTEREDderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address