DFX Intelligence
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Registered advisor
A•••• Y••• D•••
Feed of 09/14/2026
At current firm
19 y
since Nov 3, 2006
In the industry
20 y
since Jul 3, 2006 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
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
- E•••••••• A•••••••• L•• national BD currentsince Nov 3, 2006 · San Francisco, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJul 4, 2006 to Sep 13, 2006 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to E•••••••• A•••••••• L••left Sep 13, 2006, registered Nov 3, 2006 (51 days) · Affiliated broker-dealer or bank to another
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