DFX Intelligence
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Registered advisor
S••••••• V•••••
Feed of 09/14/2026
At current firm
0 y
since Mar 3, 2026
In the industry
24 y
since Mar 28, 2002 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Mar 3, 2026 · Peachtree Corners, Ga
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Feb 23, 2026 · Long Beach, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerMay 23, 2022 to Mar 31, 2025 · Torrance, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 26, 2019 to Apr 18, 2022 · Newport Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Feb 23, 2026, registered Mar 3, 2026 (8 days) · Affiliated broker-dealer or bank to another
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 18, 2022, registered May 23, 2022 (35 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Signals
- ••• LockedFeb 23, 2026 · Advisor changed firm · fact
- ••• LockedApr 18, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
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