DFX Intelligence
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Registered advisor
S••••• D•••••• A•••••
Feed of 09/14/2026
Also filed as S••••• D•••••• A••••••••• D• A•••••
At current firm
22 y
since Jul 15, 2004
In the industry
24 y
since Jun 27, 2002 (earliest exam, job or registration)
Prior registered firms
1
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
- C•••••• S••••• • C••• I••• national BD currentsince Jul 15, 2004 · San Francisco, Ca
- M••••• S•••••• D• I••• unclassifiedJul 19, 2002 to Jul 2, 2004 · San Francisc, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• D• I••• to C•••••• S••••• • C••• I•••left Jul 2, 2004, registered Jul 15, 2004 (13 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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address