DFX Intelligence
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Registered advisor
B•••• D•••• W•••
Feed of 09/14/2026
At current firm
1 y
since Mar 13, 2025
In the industry
23 y
since Jan 15, 2003 (earliest exam, job or registration)
Prior registered firms
5
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Mar 13, 2025 · Newport Beach, Ca
- M••••• S•••••• wirehouseApr 11, 2018 to Mar 11, 2025 · Newport Beach, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Apr 2, 2018 · Los Angeles, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedNov 17, 2005 to Oct 23, 2009 · Laguna Beach, Ca
- C••• B•••••••• S•••••••• I••• formerJun 23, 2004 to Sep 16, 2005 · Huntington Beach, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJan 16, 2003 to Apr 30, 2004 · Irvine, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to C•••••• S••••• • C••• I•••left Mar 11, 2025, registered Mar 13, 2025 (2 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Apr 2, 2018, registered Apr 11, 2018 (9 days) · Wirehouse to wirehouse
- 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••• B•••••••• S•••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Sep 16, 2005, registered Nov 17, 2005 (62 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C••• B•••••••• S•••••••• I•••left Apr 30, 2004, registered Jun 23, 2004 (54 days) · Other
Signals
- ••• LockedMar 11, 2025 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address