DFX Intelligence
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Registered advisor
B•••••• C•••••• M•••••
Feed of 09/14/2026
At current firm
3 y
since Oct 14, 2022
In the industry
19 y
since Aug 1, 2007 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- N•••••• A••••••• BD affiliated currentsince Oct 14, 2022 · New Orleans, La
- S••••••••• A•••••• A•••••••• I••• formerJul 17, 2020 to Oct 28, 2022 · San Francisco, Ca
- I••••••••• A••••••• S••••••• I•• formerFeb 8, 2010 to Jul 17, 2020 · Irvine, Ca
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to N•••••• A•••••••left Oct 28, 2022, registered Oct 14, 2022 (-14 days) · Affiliated broker-dealer or bank to another · moved with a team
- I••••••••• A••••••• S••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Jul 17, 2020, registered Jul 17, 2020 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedOct 28, 2022 · 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address