DFX Intelligence
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Registered advisor
D•••• A•••• S••••••
Feed of 09/15/2026
At current firm
11 y
since Oct 20, 2014
In the industry
22 y
since Apr 30, 2004 (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
- L•• F•••••••• L•• BD affiliated currentsince Oct 20, 2014 · Clayton, Ca
- U••• B•••••• I••••••••• I••• formerMay 3, 2011 to Oct 21, 2014 · Concord, Ca
- C•••• I••••••••• S••••••• C•••• formerJun 16, 2009 to May 3, 2011 · Martinez, Ca
- W•••• F•••• I••••••••• L•• unclassifiedAug 21, 2006 to Jun 8, 2009 · Martinez, Ca
- M••••• S•••••• D• I••• unclassifiedMay 24, 2004 to Aug 21, 2006 · Oakland, Ca
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to L•• F•••••••• L••left Oct 21, 2014, registered Oct 20, 2014 (-1 days) · Other
- C•••• I••••••••• S••••••• C•••• to U••• B•••••• I••••••••• I•••left May 3, 2011, registered May 3, 2011 (0 days) · Other
- W•••• F•••• I••••••••• L•• to C•••• I••••••••• S••••••• C••••left Jun 8, 2009, registered Jun 16, 2009 (8 days) · Other
- M••••• S•••••• D• I••• to W•••• F•••• I••••••••• L••left Aug 21, 2006, registered Aug 21, 2006 (0 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address