DFX Intelligence
RIA Intelligence
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Registered advisor
A•••••• T••••• C••••••
Feed of 09/14/2026
At current firm
10 y
since Sep 28, 2015
In the industry
20 y
since Aug 18, 2006 (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
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
- M••••• S•••••• wirehouse currentsince Sep 28, 2015 · Westlake Village, Ca
- U•• F•••••••• S••••••• I••• wirehouseJan 4, 2007 to Sep 29, 2015 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Sep 29, 2015, registered Sep 28, 2015 (-1 days) · Wirehouse to wirehouse · moved with a team
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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address