DFX Intelligence
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Registered advisor
A••••• S••••• A•••••
Feed of 09/14/2026
At current firm
7 y
since Oct 5, 2018
In the industry
22 y
since Nov 26, 2003 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
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
- M••••• S•••••• wirehouse currentsince Oct 5, 2018 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseApr 20, 2009 to Oct 16, 2018 · Beverly Hills, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJun 11, 2004 to Apr 28, 2009 · Beverly Hills, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDNov 27, 2003 to Apr 13, 2004 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Oct 16, 2018, registered Oct 5, 2018 (-11 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• I••••••••• L•• to U•• F•••••••• S••••••• I•••left Apr 28, 2009, registered Apr 20, 2009 (-8 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• I••••••••• L••left Apr 13, 2004, registered Jun 11, 2004 (59 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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address