DFX Intelligence
RIA Intelligence
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Registered advisor
Y•••• F•••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
1 y
since Mar 4, 2025
In the industry
20 y
since Jun 30, 2006 (earliest exam, job or registration)
Prior registered firms
2
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
- H••••• W••••• L•• state registered currentsince Mar 4, 2025 · Irvine, Ca
- E•••• S••••••••• L•• BD affiliatedNov 3, 2010 to Jul 6, 2016 · San Jose, Ca
- E•••••••• A•••••••• L•• national BDOct 1, 2007 to Mar 25, 2008 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- E•••• S••••••••• L•• to H••••• W••••• L••left Jul 6, 2016, registered Mar 4, 2025 (3163 days) · Other
- E•••••••• A•••••••• L•• to E•••• S••••••••• L••left Mar 25, 2008, registered Nov 3, 2010 (953 days) · Other
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
- STATE REGISTEREDderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address