DFX Intelligence
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Registered advisor
R••• A•••••••••
Feed of 09/15/2026
Also filed as R••• A••••••••• A••••••••• A•••••
At current firm
15 y
since Apr 29, 2011
In the industry
17 y
since Nov 29, 2008 (earliest exam, job or registration)
Prior registered firms
3
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Apr 29, 2011 · Woodland Hills, Ca
- C•••• I••••••••• S••••••• C•••• formerFeb 10, 2010 to Apr 26, 2011 · Northridge, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 29, 2010 · Woodland Hills, Ca
- M••••• S•••••• • C•• L•• unclassifiedDec 8, 2008 to Jun 1, 2009 · Woodland Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left Apr 26, 2011, registered Apr 29, 2011 (3 days) · Other
- M••••• S•••••• to C•••• I••••••••• S••••••• C••••left Jan 29, 2010, registered Feb 10, 2010 (12 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address