DFX Intelligence
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Registered advisor
N••••••• A•••••• S•••••
Feed of 09/14/2026
At current firm
22 y
since Jul 2, 2004
In the industry
24 y
since Aug 19, 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
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••••• I••••••••• A••••••• L•• BD affiliated currentsince Jul 2, 2004 · Daly City, Ca
- G••••••• F•••••••• P••••••• C••••••••• unclassifiedMay 15, 2003 to Jul 2, 2004 · San Francisco, Ca
- U•• F•••••••• S••••••• I••• wirehouseOct 11, 2002 to Feb 14, 2003 · San Mateo, Ca
- W•••••• • R••• formerAug 21, 2002 to Sep 18, 2002 · San Mateo, Ca
Moves
a registration end followed by a registration begin elsewhere
- G••••••• F•••••••• P••••••• C••••••••• to C••••• I••••••••• A••••••• L••left Jul 2, 2004, registered Jul 2, 2004 (0 days) · Other
- U•• F•••••••• S••••••• I••• to G••••••• F•••••••• P••••••• C•••••••••left Feb 14, 2003, registered May 15, 2003 (90 days) · Other
- W•••••• • R••• to U•• F•••••••• S••••••• I•••left Sep 18, 2002, registered Oct 11, 2002 (23 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address