DFX Intelligence
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Registered advisor
C•••••••• A•• D•••••••••
Personal Financial Specialist
Feed of 09/14/2026
Also filed as C•••••••• A•• D•••••••••
At current firm
16 y
since Jul 1, 2010
In the industry
24 y
since Jan 1, 2002 (earliest exam, job or registration)
Prior registered firms
1
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jul 1, 2010 · Antioch, Ca
- A•••••• A••••••• S••••••• formerJul 7, 2005 to Jul 3, 2008 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Jul 3, 2008, registered Jul 1, 2010 (728 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address