DFX Intelligence
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Registered advisor
P••• T••••• D•••••••••
Feed of 09/14/2026
Also filed as P••• T• D••••••••• T• D•••••••••
At current firm
5 y
since Oct 21, 2020
In the industry
19 y
since Sep 12, 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
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Oct 21, 2020 · Murrieta, Ca
- A••••• A•• P••••••• S••••••• BD affiliatedOct 29, 2014 to Sep 28, 2020 · San Diego, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 9, 2010 to Oct 8, 2014 · Long Beach, Ca
- T• A••••••••• I••• formerSep 9, 2010 to Oct 8, 2014 · Long Beach, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 20, 2010 · Brea, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 18, 2007 to Jun 1, 2009 · Brea, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to C••••••••• F•••••••• N••••••left Sep 28, 2020, registered Oct 21, 2020 (23 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 8, 2014, registered Sep 9, 2010 (-1490 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Oct 8, 2014, registered Sep 9, 2010 (-1490 days) · Other
- M••••• S•••••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 20, 2010, registered Sep 9, 2010 (-11 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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