DFX Intelligence
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Registered advisor
G•••• A••••• L••••
Feed of 09/14/2026
At current firm
2 y
since Jan 3, 2024
In the industry
18 y
since Nov 20, 2007 (earliest exam, job or registration)
Prior registered firms
5
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
- L•• F•••••••• L•• BD affiliated currentsince Jan 3, 2024 · Meridian, Id
- A••••••••• F•••••••• S•••••••• L•• national BDMay 29, 2020 to Jan 11, 2024 · Meridian, Id
- W•••• F•••• A••••••• wirehouseJul 26, 2013 to Jun 2, 2020 · Walnut Creek, Ca
- U••• B•••••• I••••••••• I••• formerDec 21, 2010 to Jul 29, 2013 · South San Francisco, Ca
- W•••• F•••• I••••••••• L•• unclassifiedNov 13, 2008 to Dec 22, 2010 · San Francisco, Ca
- W••• I••••••••• I••• unclassifiedNov 21, 2007 to Nov 5, 2008 · Santa Rosa, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Jan 11, 2024, registered Jan 3, 2024 (-8 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jun 2, 2020, registered May 29, 2020 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Jul 29, 2013, registered Jul 26, 2013 (-3 days) · Other
- W•••• F•••• I••••••••• L•• to U••• B•••••• I••••••••• I•••left Dec 22, 2010, registered Dec 21, 2010 (-1 days) · Other
- W••• I••••••••• I••• to W•••• F•••• I••••••••• L••left Nov 5, 2008, registered Nov 13, 2008 (8 days) · Other
Signals
- ••• LockedJan 11, 2024 · Advisor changed firm · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address