DFX Intelligence
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Registered advisor
S•••• C•••••••• J•••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as S•••• J••••••••• C•••••••• J••••••••• C• J•••••
At current firm
8 y
since Mar 20, 2018
In the industry
21 y
since Jan 4, 2005 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- F••••• I••••••••• independent RIA currentsince Mar 20, 2018 · Plano, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to Apr 5, 2018 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerFeb 6, 2015 to Jan 8, 2018 · San Diego, Ca
- M••••• S•••••• wirehouseNov 5, 2009 to Dec 17, 2014 · La Jolla, Ca
- U•• F•••••••• S••••••• I••• wirehouseAug 2, 2007 to Nov 5, 2009 · San Diego, Ca
- A• G• E•••••• • S•••• I••• unclassifiedJul 18, 2005 to Jul 26, 2007 · San Diego, Ca
- P•••• S••••••••• L•• no RAUMApr 8, 2005 to Jul 8, 2005 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- U••• I••••••••• S••••••• C•••••• to F••••• I•••••••••left Apr 5, 2018, registered Mar 20, 2018 (-16 days) · Affiliated broker-dealer or bank to independent RIA
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to U••• F•••••••• P••••••• S•••••••left Dec 17, 2014, registered Feb 6, 2015 (51 days) · Other
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Nov 5, 2009, registered Nov 5, 2009 (0 days) · Wirehouse to wirehouse
- A• G• E•••••• • S•••• I••• to U•• F•••••••• S••••••• I•••left Jul 26, 2007, registered Aug 2, 2007 (7 days) · Other
- P•••• S••••••••• L•• to A• G• E•••••• • S•••• I•••left Jul 8, 2005, registered Jul 18, 2005 (10 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address