DFX Intelligence
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Registered advisor
C•••• T••••• B•••
Feed of 09/14/2026
At current firm
10 y
since Aug 8, 2016
In the industry
18 y
since Sep 28, 2007 (earliest exam, job or registration)
Prior registered firms
3
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Aug 8, 2016 · Brea, Ca
- C••• F•••••••• S•••••••• L••• formerOct 19, 2009 to Aug 9, 2016 · La Habra, Ca
- M•• F•••••••• S•••••••• I••• formerMar 12, 2009 to Oct 26, 2009 · Irvine, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 5, 2007 to Dec 22, 2008 · Seal Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••• F•••••••• S•••••••• L••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 9, 2016, registered Aug 8, 2016 (-1 days) · Other
- M•• F•••••••• S•••••••• I••• to C••• F•••••••• S•••••••• L•••left Oct 26, 2009, registered Oct 19, 2009 (-7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• F•••••••• S•••••••• I•••left Dec 22, 2008, registered Mar 12, 2009 (80 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address