DFX Intelligence
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Registered advisor
S••• E••• G•••••••
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as S••• G•••••••
At current firm
7 y
since Jul 11, 2019
In the industry
19 y
since May 31, 2007 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- B••••• P••••• A•••••••• L•• independent RIA currentsince Jul 11, 2019 · Newport Beach, Ca
- B••••• P••••• W••••• A•••••••• L•• formerJul 11, 2019 to Apr 27, 2020 · Arvada, Co
Moves
a registration end followed by a registration begin elsewhere
- B••••• P••••• W••••• A•••••••• L•• to B••••• P••••• A•••••••• L••left Apr 27, 2020, registered Jul 11, 2019 (-291 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address