DFX Intelligence
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Registered advisor
S•••• W•••••• B•••••••
Chartered Financial Analyst
Feed of 09/14/2026
At current firm
3 y
since Oct 4, 2022
In the industry
19 y
since Jul 20, 2007 (earliest exam, job or registration)
Prior registered firms
2
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
- S••••• W••••• A•••••••• I••• no RAUM currentsince Oct 4, 2022 · San Diego, Ca
- S•••••••• A••••••• L•• national BDApr 11, 2011 to Nov 3, 2017 · Salt Lake City, Ut
- W•••• F•••• I••••••••• L•• unclassifiedJul 20, 2007 to Dec 20, 2007 · Salt Lake City, Ut
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to S••••• W••••• A•••••••• I•••left Nov 3, 2017, registered Oct 4, 2022 (1796 days) · Other
- W•••• F•••• I••••••••• L•• to S•••••••• A••••••• L••left Dec 20, 2007, registered Apr 11, 2011 (1208 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
- No RAUM reportedderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address