DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Feed of 09/15/2026
Also filed as S••••• P•••••• F••••••••• F•••••
At current firm
3 y
since Feb 14, 2023
In the industry
10 y
since Sep 1, 2016 (earliest exam, job or registration)
Prior registered firms
3
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
2
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Feb 14, 2023 · Tucson, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 12, 2022 to Jan 3, 2023 · San Diego, Ca
- M••••• S•••••• wirehouseMay 7, 2020 to Mar 28, 2022 · Scottsdale, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 29, 2018 to Mar 2, 2020 · Indian Wells, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jan 3, 2023, registered Feb 14, 2023 (42 days) · Wirehouse to wirehouse
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 28, 2022, registered Apr 12, 2022 (15 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Mar 2, 2020, registered May 7, 2020 (66 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedJan 3, 2023 · Advisor changed firm · fact
- ••• LockedMar 28, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address