DFX Intelligence
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Registered advisor
C••••••••• B•••••• T••••••
Feed of 09/14/2026
At current firm
0 y
since Nov 17, 2025
In the industry
22 y
since Aug 5, 2004 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Nov 17, 2025 · Riverside, Ca
- O•••• W•••••• I••• BD affiliatedJun 14, 2024 to Nov 19, 2025 · Riverside, Ca
- S••••••••• A•••••• A•••••••• I••• formerSep 4, 2018 to Jun 14, 2024 · Riverside, Ca
- L•• F•••••••• L•• BD affiliatedNov 25, 2014 to Sep 11, 2018 · Rancho Cucamonga, Ca
- C••• F•••••••• S•••••••• L••• formerMay 8, 2006 to Dec 3, 2014 · Riverside, Ca
- L•• F•••••••• L•• BD affiliatedApr 6, 2006 to May 8, 2006 · Upland, Ca
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to C••••• I••••••••• A••••••• L••left Nov 19, 2025, registered Nov 17, 2025 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Sep 11, 2018, registered Sep 4, 2018 (-7 days) · RIA to affiliated broker-dealer or bank · moved with a team
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left Dec 3, 2014, registered Nov 25, 2014 (-8 days) · Other
- L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••left May 8, 2006, registered May 8, 2006 (0 days) · Other
Signals
- ••• LockedNov 19, 2025 · Advisor changed firm · fact
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
- 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