DFX Intelligence
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Registered advisor
F•••• S••••••
Feed of 09/15/2026
At current firm
7 y
since May 2, 2019
In the industry
19 y
since Dec 28, 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
- C•••••• S••••• • C••• I••• national BD currentsince May 2, 2019 · Menlo Park, Ca
- U•••• I••••••••• L•• unclassifiedAug 14, 2018 to Apr 16, 2019 · Belmont, Ca
- O••••• I••••••••• M••••••••• L•• unclassifiedMay 31, 2018 to Apr 15, 2019 · Belmont, Ca
- S•••••••• I••••••••• M••••••••• formerSep 28, 2016 to Mar 8, 2018 · Saint Louis, Mo
- A••••••••• F•••••••• S•••••••• L•• national BDJan 1, 2007 to May 3, 2007 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•••• I••••••••• L•• to C•••••• S••••• • C••• I•••left Apr 16, 2019, registered May 2, 2019 (16 days) · Other
- O••••• I••••••••• M••••••••• L•• to U•••• I••••••••• L••left Apr 15, 2019, registered Aug 14, 2018 (-244 days) · Other
- S•••••••• I••••••••• M••••••••• to O••••• I••••••••• M••••••••• L••left Mar 8, 2018, registered May 31, 2018 (84 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to S•••••••• I••••••••• M•••••••••left May 3, 2007, registered Sep 28, 2016 (3436 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address