DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
R•••• S•• B••• L••
Feed of 09/15/2026
Also filed as R•••• S•• B••• L•••••••• S•••••• L••
At current firm
1 y
since Oct 11, 2024
In the industry
21 y
since Sep 8, 2005 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- H•••••••• A•••••••• L•• BD affiliated currentsince Oct 11, 2024 · Chicago, Il
- W•••• F•••• A••••••• wirehouseJun 6, 2024 to Aug 30, 2024 · San Francisco, Ca
- U•• F•••••••• S••••••• I••• wirehouseJan 1, 2010 to Oct 10, 2017 · Central
- U•• I••••••••• I••• unclassifiedMay 20, 2008 to Jan 1, 2010 · Central
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 8, 2005 to Feb 6, 2008 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to H•••••••• A•••••••• L••left Aug 30, 2024, registered Oct 11, 2024 (42 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Oct 10, 2017, registered Jun 6, 2024 (2431 days) · Wirehouse to wirehouse
- U•• I••••••••• I••• to U•• F•••••••• S••••••• I•••left Jan 1, 2010, registered Jan 1, 2010 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• I••••••••• I•••left Feb 6, 2008, registered May 20, 2008 (104 days) · Other
Signals
- ••• LockedAug 30, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address