DFX Intelligence
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Registered advisor
A•••• T• A••••••
Feed of 09/14/2026
Also filed as A•••• T•••••••• A••••••
At current firm
16 y
since Oct 23, 2009
In the industry
24 y
since Jun 28, 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 23, 2009 · Sacramento, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 6, 2008 to Oct 23, 2009 · Sacramento, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Oct 20, 2008 · Sacramento, Ca
- C••••••• I••••••••• S••••••• unclassifiedMay 16, 2003 to May 29, 2007 · Sacramento, Ca
- M••••• S•••••• D• I••• unclassifiedJul 19, 2002 to Apr 14, 2003 · Sacramento, Ca
Moves
a registration end followed by a registration begin elsewhere
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2008, registered Oct 6, 2008 (-14 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to C••••••• I••••••••• S•••••••left Apr 14, 2003, registered May 16, 2003 (32 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address