DFX Intelligence
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Registered advisor
A•••• R•••
Certified Financial Planner
Feed of 09/14/2026
Also filed as A•••• M•••••
At current firm
1 y
since Jul 29, 2025
In the industry
17 y
since Jul 20, 2009 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- S••••• W••••• A•••••••• I••• no RAUM currentsince Jul 29, 2025 · San Diego, Ca
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Jul 16, 2025 · Mountain View, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 5, 2022 to Mar 31, 2025 · Mountain View, Ca
- J••• M••••• S••••••••• L•• wirehouseJun 1, 2017 to Feb 9, 2022 · San Jose, Ca
- W•••• F•••• A••••••• wirehouseOct 29, 2013 to Jun 1, 2017 · San Jose, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Oct 29, 2013 · San Jose, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 22, 2009 to Oct 23, 2009 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to S••••• W••••• A•••••••• I•••left Jul 16, 2025, registered Jul 29, 2025 (13 days) · Other · moved with a team
- 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
- J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 9, 2022, registered Apr 5, 2022 (55 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Jun 1, 2017, registered Jun 1, 2017 (0 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Oct 29, 2013, registered Oct 29, 2013 (0 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedJul 16, 2025 · Advisor changed firm · fact
- ••• LockedFeb 9, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- No RAUM reportedderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address