DFX Intelligence
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Registered advisor
S••••• A••••• L••••
Feed of 09/14/2026
Also filed as S••••• A••••• L••••••••• L••••
At current firm
3 y
since Jun 29, 2023
In the industry
22 y
since Apr 22, 2004 (earliest exam, job or registration)
Prior registered firms
2
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Beaumont, Ca
- V••• F•••••••• A•••••••• I••• BD affiliatedJun 29, 2011 to Jun 9, 2021 · Newport Beach, Ca
- W•••••• • R••• formerAug 12, 2008 to Jan 12, 2011 · Riverside, Ca
Moves
a registration end followed by a registration begin elsewhere
- V••• F•••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Jun 9, 2021, registered Jun 29, 2023 (750 days) · corporate re-registration, not a move
- W•••••• • R••• to V••• F•••••••• A•••••••• I•••left Jan 12, 2011, registered Jun 29, 2011 (168 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address