DFX Intelligence
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Registered advisor
D••••• C••
Feed of 09/14/2026
Also filed as A•••• C••••••••• C••
At current firm
10 y
since Mar 17, 2016
In the industry
20 y
since Jul 31, 2006 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
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
- U•• F•••••••• S••••••• I••• wirehouse currentsince Mar 17, 2016 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 9, 2010 to Mar 18, 2016 · San Francisco, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 23, 2010 to Sep 15, 2010 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseJan 1, 2010 to May 20, 2010 · San Francisco, Ca
- U•• I••••••••• I••• unclassifiedNov 13, 2008 to Jan 1, 2010 · San Francisco, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 1, 2006 to Mar 5, 2008 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Mar 18, 2016, registered Mar 17, 2016 (-1 days) · Wirehouse to wirehouse · moved with a team
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 15, 2010, registered Sep 9, 2010 (-6 days) · Other
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left May 20, 2010, registered Jul 23, 2010 (64 days) · Other
- U•• I••••••••• I••• to U•• F•••••••• S••••••• I•••left Jan 1, 2010, registered Jan 1, 2010 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to U•• I••••••••• I•••left Mar 5, 2008, registered Nov 13, 2008 (253 days) · Other
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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address