DFX Intelligence
RIA Intelligence
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Registered advisor
Y••• H•••••
Feed of 09/15/2026
At current firm
1 y
since Mar 31, 2025
In the industry
17 y
since Jan 20, 2009 (earliest exam, job or registration)
Prior registered firms
5
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Newport Beach, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDMar 21, 2017 to Jul 13, 2018 · Newport Beach, Ca
- E•••••• C•••••• M••••••••• L•• formerNov 30, 2011 to Mar 7, 2017 · Arlington, Va
- L•• F•••••••• L•• BD affiliatedOct 5, 2010 to Oct 17, 2011 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedJan 21, 2009 to Feb 25, 2009 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- E•••••• C•••••• M••••••••• L•• to S•••••••• A••••••• L••left Mar 7, 2017, registered Mar 21, 2017 (14 days) · Other
- L•• F•••••••• L•• to E•••••• C•••••• M••••••••• L••left Oct 17, 2011, registered Nov 30, 2011 (44 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
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address