DFX Intelligence
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This advisor's name, 1 more prior firm in the career history and 1 more move
Career history, every move, licensing and registration changes, outside business activity and the contact routes the firm publishes, each with the official record linked.
Includes 3 days of DFX Intelligence. Then $249/month unless canceled.
A Financial Advisor In California
As of · the IAPD feed
- At current firm
- 1 y
- In the industry
- 18.5 y
- Prior registered firms
- 4
- Signals
- 0
since Mar 31, 2025
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Recruiter briefHow to read thisEvery line is a fact from a public record, or a measurement DFX made on the registration history of every advisor (2023 to 2025 cohorts), read for this advisor’s own firm where the sample allows. A move indicator means advisors with that fact moved more often; a retention indicator means they moved less. Neither says what this person will do. Recruiting value and movement evidence are kept apart on purpose.
facts first, then what DFX measured about them; never a statement of intent
Recruiting value
- Practice attractivenesssome18.5 years in the industry
- Team depthnone0 of the 0 people who once moved firms with this advisor are registered here now (a team seen in registrations; web team pages are not used until they pass review).
- Entrepreneurial profilenoneNamed in the full brief.
- Real estate activitynoneNamed in the full brief.
- Contactabilityweakno contact route found
Movement evidence
- Movement signalnotable2 of 3 dated or circumstantial readings historically went with moving: 20%+ of the office left in the prior 180 days; two or more known colleagues moved in the prior 180 days. The forward-tested move model places this advisor in its Baseline band.
- Recent change activitysomeNamed in the full brief.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitysome2 prior firms, median stay 7.7 years.
Dated changes and circumstances, and what they have meant historically
- move indicator20%+ of the office left in the prior 180 daysAcross all advisors, 12.6% with this moved within a year, against 4.9% without it (2.58x, 2023 to 2025 cohorts).
- move indicatorTwo or more known colleagues moved in the prior 180 daysAt BROKERAGE_ADVISORY, 6.3% with this moved within a year, against 4.4% without it (1.44x, 2023 to 2025 cohorts).
- weak move associationA known colleague moved to an independent RIA in the prior 180 daysAt BROKERAGE_ADVISORY, 5.1% with this moved within a year, against 4.5% without it (1.15x, 2023 to 2025 cohorts).
Career
- 18.5 years in the industry
- 1.5 years at the current firm
- 3 prior registered firms; median stay 7.7 years
- Path: bank affiliated to brokerage advisory
Source: SEC IAPD per-person record
Licensing and credentials
- Registered in 19 states (firm median 2)
- Exams: SIE, Series 66, Series 7
- Registered as a broker as well as an adviser
Source: IAPD individual feed and the per-person IAPD record
Around this advisor
- 3 of about 13 in the office left in the last 180 days
- 3 known colleagues changed firms in the last year
- 1 went to an independent RIA in the last 180 days
Regulatory record
In the full brief, with the official record linked.
+9 details in the full brief
The named explanations, the practice profile, what stands out and the conversation themes, with the official record linked.
Includes 3 days of DFX Intelligence. Then $249/month unless canceled.
Registration history
IAPD current and previous registrations
- Strategic Advisers LLC brokerage advisory currentsince Mar 31, 2025 · Sunnyvale, Ca
- Fidelity Personal And Workplace Advisors brokerage advisoryJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- Strategic Advisers LLC brokerage advisoryNov 9, 2016 to Jul 13, 2018 · Sunnyvale, Ca
- Wells Fargo Advisors wirehouseJan 3, 2011 to Oct 19, 2016 · Pasadena, Ca
+1 more prior firm in the career history
Includes 3 days of DFX Intelligence. Then $249/month unless canceled.
Moves
a registration end followed by a registration begin elsewhere
- Fidelity Personal And Workplace Advisors to Strategic Advisers LLCleft Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- Strategic Advisers LLC to Fidelity Personal And Workplace Advisorsleft Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- Wells Fargo Advisors to Strategic Advisers LLCleft Oct 19, 2016, registered Nov 9, 2016 (21 days) · Wirehouse to affiliated broker-dealer or bank
+1 more move
Includes 3 days of DFX Intelligence. Then $249/month unless canceled.
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
- Brokerage advisory programderived
- Years in industry
- 18.5 yderivedfrom the SEC's own industry start on the per-person IAPD record
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote