DFX Intelligence
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Registered advisor
C•••••• A•••••
Feed of 09/23/2026
Also filed as C•••••• K•• O••••••••• K•• A••••••••• K• A•••••
At current firm
0 y
since Sep 22, 2026
In the industry
20 y
since Oct 18, 2005 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••• P•••••• W••••• BD affiliated currentsince Sep 22, 2026 · Newport Beach, Ca
- C••••••• S••••••••• I••• BD affiliated currentsince Sep 22, 2026 · Naples, Fl
- M••••• S•••••• wirehouseJan 5, 2026 to Sep 10, 2026 · Long Beach, Ca
- J••• M••••• S••••••••• L•• wirehouseMay 30, 2024 to Oct 2, 2024 · Newport Beach, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerJun 30, 2015 to Oct 7, 2024 · Newport Beach, Ca
- L•• F•••••••• L•• BD affiliatedOct 30, 2014 to Jun 25, 2015 · Irvine, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to C••••••• S••••••••• I•••left Sep 10, 2026, registered Sep 22, 2026 (12 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••left Oct 7, 2024, registered May 30, 2024 (-130 days) · channel change inside one enterprise, not a move
- J••• M••••• S••••••••• L•• to M••••• S••••••left Oct 2, 2024, registered Jan 5, 2026 (460 days) · Wirehouse to wirehouse
- L•• F•••••••• L•• to J••• M••••• P•••••• W••••• A••••••• L••left Jun 25, 2015, registered Jun 30, 2015 (5 days) · Other
Signals
- ••• LockedSep 22, 2026 · Advisor registered · fact
- ••• LockedSep 10, 2026 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address