DFX Intelligence
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Registered advisor
T•• D• N•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as T••• D••• N••••••••• D••• N••••••••• N•••••
At current firm
1 y
since Feb 3, 2025
In the industry
23 y
since Jan 31, 2003 (earliest exam, job or registration)
Prior registered firms
9
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Feb 3, 2025 · San Jose, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 18, 2019 to Feb 4, 2025 · San Jose, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 1, 2017 to Aug 5, 2019 · Newark, Ca
- J••• M••••• S••••••••• L•• wirehouseApr 13, 2015 to Dec 13, 2017 · Sunnyvale, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Mar 27, 2012 · Fremont, Ca
- W••• I••••••••• I••• unclassifiedApr 24, 2009 to May 2, 2009 · Fremont, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 22, 2007 to Nov 18, 2008 · San Jose, Ca
- W•••• F•••• I••••••••• L•• unclassifiedApr 5, 2007 to Jun 12, 2007 · Milpitas, Ca
- C••••••• I••••••••• S••••••• unclassifiedJun 23, 2006 to Dec 1, 2006 · San Jose, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJan 19, 2005 to Jun 29, 2005 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Feb 4, 2025, registered Feb 3, 2025 (-1 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 5, 2019, registered Jul 18, 2019 (-18 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••left Dec 13, 2017, registered Dec 1, 2017 (-12 days) · Other · moved with a team
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Mar 27, 2012, registered Apr 13, 2015 (1112 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to W••• I••••••••• I•••left Nov 18, 2008, registered Apr 24, 2009 (157 days) · Other
- W•••• F•••• I••••••••• L•• to C•••••••• G••••• M•••••• I•••left Jun 12, 2007, registered Jun 22, 2007 (10 days) · Other
- C••••••• I••••••••• S••••••• to W•••• F•••• I••••••••• L••left Dec 1, 2006, registered Apr 5, 2007 (125 days) · Other
- W•••• F•••• I••••••••• L•• to C••••••• I••••••••• S•••••••left Jun 29, 2005, registered Jun 23, 2006 (359 days) · Other
Signals
- ••• LockedFeb 4, 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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address