DFX Intelligence
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Registered advisor
R•••••• C•• H•• P••
Certified Financial Planner
Feed of 09/14/2026
Also filed as R•••••• C•• H•• P••••••••• C•• H•• P•••••• C• P••
At current firm
4 y
since May 9, 2022
In the industry
19 y
since Oct 17, 2006 (earliest exam, job or registration)
Prior registered firms
4
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
- L•• F•••••••• L•• BD affiliated currentsince May 9, 2022 · Irvine, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJul 25, 2011 to Mar 31, 2016 · Los Angeles, Ca
- M•• F•••••••• S•••••••• I••• formerJun 24, 2010 to Aug 2, 2011 · Los Angeles, Ca
- M•• F•••••••• S•••••••• I••• formerDec 14, 2006 to Jul 23, 2009 · Irvine, Ca
- S••••••• F•••••••• S•••••••• I••• formerOct 17, 2006 to Dec 19, 2006 · Newport Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Mar 31, 2016, registered May 9, 2022 (2230 days) · Other
- M•• F•••••••• S•••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Aug 2, 2011, registered Jul 25, 2011 (-8 days) · Other
- S••••••• F•••••••• S•••••••• I••• to M•• F•••••••• S•••••••• I•••left Dec 19, 2006, registered Dec 14, 2006 (-5 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address