DFX Intelligence
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A•••••• D•• C•••• L••
As of · the IAPD feed; also filed as A•••••• D•• C•••• L••••••••• D•• C•••• L••
- At current firm
- 5 y
- In the industry
- 23 y
- Prior registered firms
- 7
- Signals
- 1
since Jul 6, 2021
As of · the IAPD feed; also filed as A•••••• D•• C•••• L••••••••• D•• C•••• L••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Jul 6, 2021 · Campbell, Ca
- T• A••••••••• I••• formerFeb 8, 2022 to Oct 14, 2022 · Omaha, Ne
- T• A••••••••• I••• formerNov 4, 2016 to Jul 6, 2021 · Cupertino, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 4, 2016 to Jul 6, 2021 · Cupertino, Ca
- S•••••••• A••••••• L•• national BDApr 8, 2005 to Oct 26, 2016 · Monterey, Ca
- F••••••• B•••••••• S••••••• L•• unclassifiedMar 22, 2005 to Apr 4, 2005 · Monterey, Ca
All 7 prior registrationsShow fewer
- M••••• S•••••• D• I••• unclassifiedOct 7, 2003 to Feb 9, 2005 · Hayward, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJun 2, 2003 to Aug 11, 2003 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to no registered destinationleft Oct 14, 2022 · Departure, no registered destination
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Jul 6, 2021, registered Jul 6, 2021 (0 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Jul 6, 2021, registered Jul 6, 2021 (0 days) · channel change inside one enterprise, not a move · moved with a team
- S•••••••• A••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Oct 26, 2016, registered Nov 4, 2016 (9 days) · Other
- F••••••• B•••••••• S••••••• L•• to S•••••••• A••••••• L••left Apr 4, 2005, registered Apr 8, 2005 (4 days) · Other
All 7 movesShow fewer
- M••••• S•••••• D• I••• to F••••••• B•••••••• S••••••• L••left Feb 9, 2005, registered Mar 22, 2005 (41 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M••••• S•••••• D• I•••left Aug 11, 2003, registered Oct 7, 2003 (57 days) · Other
Signals
- ••• LockedOct 14, 2022 · Advisor departure · fact
Transition signalsWhat these will draw onThe 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.
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
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, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote