DFX Intelligence
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Registered advisor
B••••• D••••• C••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
2 y
since Sep 9, 2024
In the industry
18 y
since Jan 22, 2008 (earliest exam, job or registration)
Prior registered firms
4
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
- L•• F•••••••• L•• BD affiliated currentsince Sep 9, 2024 · Santa Rosa, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDOct 12, 2018 to Oct 8, 2024 · Windsor, Ca
- W•••• F•••• A••••••• wirehouseOct 25, 2012 to Oct 17, 2018 · Novato, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 6, 2012 · San Francisco, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 29, 2008 to Jun 1, 2009 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Oct 8, 2024, registered Sep 9, 2024 (-29 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Oct 17, 2018, registered Oct 12, 2018 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left Nov 6, 2012, registered Oct 25, 2012 (-12 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedOct 8, 2024 · Advisor changed firm · fact
Transition signals
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