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.
Registered advisor
S••••• A•••• S•••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as S•• S•••••••
At current firm
6 y
since Aug 14, 2020
In the industry
19 y
since Jul 1, 2007 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Aug 14, 2020 · Los Angeles, Ca
- T• A••••••••• I••• formerJul 1, 2022 to Oct 14, 2022 · Woodland Hills, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 19, 2018 to Jul 22, 2020 · Los Angeles, Ca
- C•••••• S••••• • C••• I••• national BDDec 11, 2007 to Aug 2, 2018 · Newport Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to no registered destinationleft Oct 14, 2022 · Departure, no registered destination
- F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••left Jul 22, 2020, registered Aug 14, 2020 (23 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 2, 2018, registered Sep 19, 2018 (48 days) · Affiliated broker-dealer or bank to another · moved with a team
Signals
- ••• LockedOct 14, 2022 · Advisor departure · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
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