DFX 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.
Feed of 09/14/2026
Also filed as S•••• J••••• K•••••
At current firm
1 y
since Oct 25, 2024
In the industry
14 y
since Dec 19, 2011 (earliest exam, job or registration)
Prior registered firms
2
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- H••••••••• W••••• P••••••• former currentsince Oct 25, 2024 · Escondido, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDDec 20, 2013 to Oct 29, 2024 · Escondido, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 26, 2012 to Dec 23, 2013 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to H••••••••• W••••• P•••••••left Oct 29, 2024, registered Oct 25, 2024 (-4 days) · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Dec 23, 2013, registered Dec 20, 2013 (-3 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedOct 29, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Former SEC-registered adviserderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address