DFX Intelligence
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Registered advisor
G•••• S•••••• S••••••
Feed of 09/15/2026
At current firm
1 y
since Mar 31, 2025
In the industry
18 y
since May 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
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Rancho Cucamonga, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 13, 2019 to Mar 31, 2025 · Brea, Ca
- U••• B•••••• I••••••••• I••• formerJul 2, 2013 to Feb 28, 2019 · Rancho Cucamonga, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jun 25, 2013 · Ladera Ranch, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMay 23, 2008 to Jan 3, 2011 · Newport Beach, 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
- U••• B•••••• I••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 28, 2019, registered Mar 13, 2019 (13 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••left Jun 25, 2013, registered Jul 2, 2013 (7 days) · Other
- 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
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address