DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
A••••••• S•••• D•••••••
Feed of 09/15/2026
At current firm
2 y
since Apr 12, 2024
In the industry
16 y
since Sep 1, 2010 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Apr 12, 2024 · Stockton, Ca
- L•• F•••••••• L•• BD affiliatedJul 19, 2023 to Apr 26, 2024 · Sacramento, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerAug 7, 2013 to Jul 19, 2023 · Sacramento, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Aug 8, 2013 · Elk Grove, Ca
- C•••• I••••••••• S••••••• C•••• formerJun 6, 2011 to Oct 1, 2012 · Sacramento, Ca
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Apr 26, 2024, registered Apr 12, 2024 (-14 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- B••••••• I••••••••• S•••••••• I••• ••••• to L•• F•••••••• L••left Jul 19, 2023, registered Jul 19, 2023 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left Aug 8, 2013, registered Aug 7, 2013 (-1 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
Signals
- A••••••• S•••• D••••••• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2024-04-12)Apr 26, 2024 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address