DFX Intelligence
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Registered advisor
R•••••• Q••• L••
Feed of 09/15/2026
Also filed as R•••••• Q••• L••••••••• Q••• E• L••••••••• L••
At current firm
4 y
since May 5, 2022
In the industry
22 y
since Apr 6, 2004 (earliest exam, job or registration)
Prior registered firms
5
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••• A••••••• G••••• L•• BD affiliated currentsince May 5, 2022 · Dublin, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 18, 2022 to Apr 25, 2022 · Dublin, Ca
- A••••• A•• P••••••• S••••••• BD affiliatedMay 14, 2014 to Nov 13, 2020 · San Francisco, Ca
- C•••••• S••••• • C••• I••• national BDAug 8, 2007 to Sep 24, 2012 · San Mateo, Ca
- U•• F•••••••• S••••••• I••• wirehouseSep 28, 2005 to Aug 8, 2007 · San Francisco, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDApr 7, 2004 to Jul 12, 2005 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to E•••••• A••••••• G••••• L••left Apr 25, 2022, registered May 5, 2022 (10 days) · Affiliated broker-dealer or bank to another
- A••••• A•• P••••••• S••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 13, 2020, registered Jan 18, 2022 (431 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••• • C••• I••• to A••••• A•• P••••••• S•••••••left Sep 24, 2012, registered May 14, 2014 (597 days) · Other
- U•• F•••••••• S••••••• I••• to C•••••• S••••• • C••• I•••left Aug 8, 2007, registered Aug 8, 2007 (0 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to U•• F•••••••• S••••••• I•••left Jul 12, 2005, registered Sep 28, 2005 (78 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedApr 25, 2022 · Advisor changed firm · fact
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