DFX Intelligence
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Registered advisor
C••••• A•••••• V••••••
Feed of 09/14/2026
Also filed as C••••• V••••••
At current firm
5 y
since Apr 6, 2021
In the industry
19 y
since Feb 22, 2007 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
3
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 Apr 6, 2021 · San Diego, Ca
- W•••• F•••• A••••••• wirehouseSep 30, 2013 to Apr 12, 2021 · San Diego, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Sep 27, 2013 · San Ysidro, Ca
- C•••• I••••••••• S••••••• C•••• formerAug 6, 2010 to Oct 1, 2012 · San Diego, Ca
- M•••••••• C•••••• M••••••••• L•• unclassifiedSep 3, 2009 to Aug 9, 2010
- M•••••••• C•••••• M••••••••• L•• unclassifiedSep 3, 2009 to Dec 31, 2009 · San Diego, Ca
All 8 prior registrationsShow fewer
- L•• F•••••••• L•• BD affiliatedJun 26, 2009 to Jul 17, 2009 · San Diego, Ca
- M•••••••• C•••••• M••••••••• L•• unclassifiedJan 2, 2009 to Jan 13, 2009 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedFeb 26, 2007 to Mar 26, 2009 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M••••• S••••••left Apr 12, 2021, registered Apr 6, 2021 (-6 days) · Wirehouse to wirehouse · moved with a team
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Sep 27, 2013, registered Sep 30, 2013 (3 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M•••••••• C•••••• M••••••••• L•• to C•••• I••••••••• S••••••• C••••left Aug 9, 2010, registered Aug 6, 2010 (-3 days) · Other
- L•• F•••••••• L•• to M•••••••• C•••••• M••••••••• L••left Jul 17, 2009, registered Sep 3, 2009 (48 days) · Other
All 7 movesShow fewer
- L•• F•••••••• L•• to M•••••••• C•••••• M••••••••• L••left Mar 26, 2009, registered Jan 2, 2009 (-83 days) · Other
- M•••••••• C•••••• M••••••••• L•• to L•• F•••••••• L••left Jan 13, 2009, registered Jun 26, 2009 (164 days) · Other
Signals
No dated event on this person.
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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address