DFX Intelligence
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Registered advisor
C•••• N• S••••••
Feed of 09/15/2026
Also filed as C•••• S••••••
At current firm
0 y
since Jun 26, 2026
In the industry
22 y
since Dec 23, 2003 (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
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
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Jun 26, 2026 · San Jose, Ca
- M•••••• A•••••• N•••••• BD affiliatedApr 20, 2017 to Jun 26, 2026 · San Jose, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Apr 25, 2017 · M••••• Hill, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedNov 27, 2006 to Oct 23, 2009 · Los Altos, Ca
- M••••• S•••••• D• I••• unclassifiedJan 26, 2004 to Nov 28, 2006 · Santa Cruz, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• A•••••• N•••••• to P•••••• A•••••• G••••• L••left Jun 26, 2026, registered Jun 26, 2026 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•••••• A•••••• N••••••left Apr 25, 2017, registered Apr 20, 2017 (-5 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Nov 28, 2006, registered Nov 27, 2006 (-1 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
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