DFX Intelligence
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Registered advisor
A•••• C••••••• L••
Feed of 09/14/2026
At current firm
13 y
since Dec 13, 2012
In the industry
20 y
since Jul 1, 2006 (earliest exam, job or registration)
Prior registered firms
4
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
- C•••••• S••••• • C••• I••• national BD currentsince Dec 13, 2012 · San Francisco, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 24, 2007 to Nov 20, 2012 · San Francisco, Ca
- T• A••••••••• I••• formerJul 24, 2007 to Nov 20, 2012 · San Francisco, Ca
- M•• F•••••••• S•••••••• I••• formerFeb 7, 2007 to Jul 18, 2007 · Walnut Creek, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJul 3, 2006 to Sep 22, 2006 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Nov 20, 2012, registered Dec 13, 2012 (23 days) · Other
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Nov 20, 2012, registered Dec 13, 2012 (23 days) · Other
- M•• F•••••••• S•••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 18, 2007, registered Jul 24, 2007 (6 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••left Sep 22, 2006, registered Feb 7, 2007 (138 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address