DFX Intelligence
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Registered advisor
D••• T•••
Feed of 09/14/2026
Also filed as L••• T•••••••• T•••••••• T•••
At current firm
1 y
since Mar 31, 2025
In the industry
21 y
since Feb 1, 2005 (earliest exam, job or registration)
Prior registered firms
5
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · San Jose, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 18, 2024 to Mar 31, 2025 · Los Gatos, Ca
- M••••• S•••••• wirehouseDec 3, 2021 to Aug 29, 2024 · Cupertino, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 12, 2017 to Dec 6, 2021 · San Jose, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to May 16, 2017 · Santa Clara, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMay 9, 2008 to Jan 3, 2011 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 29, 2024, registered Oct 18, 2024 (50 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Dec 6, 2021, registered Dec 3, 2021 (-3 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left May 16, 2017, registered Jun 12, 2017 (27 days) · Other · moved with a team
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedAug 29, 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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address