DFX Intelligence
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Registered advisor
A•••••• A•••••••• T••••
Feed of 09/14/2026
Also filed as A•••••• A•••••••• T••••••••• T••••
At current firm
8 y
since Oct 4, 2017
In the industry
16 y
since Oct 15, 2009 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••••• A•••••••• L•• national BD currentsince Oct 4, 2017 · San Rafael, Ca
- A••••• A•• P••••••• S••••••• BD affiliatedAug 19, 2016 to Sep 15, 2017 · San Francisco, Ca
- C••••• F•••••••• A••••••• unclassifiedFeb 26, 2016 to Jul 29, 2016 · San Francisco, Ca
- S•••••••• F••••••••• I••• formerFeb 17, 2016 to Mar 8, 2016 · San Francisco, Ca
- P•••• S••••••••• L•• no RAUMJul 17, 2012 to Feb 17, 2016 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to E•••••••• A•••••••• L••left Sep 15, 2017, registered Oct 4, 2017 (19 days) · Other
- C••••• F•••••••• A••••••• to A••••• A•• P••••••• S•••••••left Jul 29, 2016, registered Aug 19, 2016 (21 days) · Other
- S•••••••• F••••••••• I••• to C••••• F•••••••• A•••••••left Mar 8, 2016, registered Feb 26, 2016 (-11 days) · Other · moved with a team
- P•••• S••••••••• L•• to S•••••••• F••••••••• I•••left Feb 17, 2016, registered Feb 17, 2016 (0 days) · Other · moved with a team
Signals
No dated event on this person.
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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address