DFX Intelligence
RIA Intelligence
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Feed of 09/14/2026
At current firm
8 y
since Jul 16, 2018
In the industry
24 y
since Apr 25, 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
- R••••••• R•••••• former currentsince Jul 16, 2018 · El Segundo, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMay 2, 2002 to Jul 13, 2018 · El Segundo, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to R••••••• R••••••left Jul 13, 2018, registered Jul 16, 2018 (3 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
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
- Former SEC-registered adviserderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address