DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
W•••••• D••••••••
Feed of 09/15/2026
Also filed as W•••••• M••••• D•••••••• B••••••••• B• D••••••••• D••••••••• M••••• D••••••••
At current firm
4 y
since Apr 15, 2022
In the industry
18 y
since Nov 1, 2007 (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
- W•••• F•••• A••••••• wirehouse currentsince Apr 15, 2022 · San Luis Obispo, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 14, 2019 to Apr 18, 2022 · Oxnard, Ca
- W•••• F•••• A••••••• wirehouseJan 24, 2018 to May 23, 2019 · Port Hueneme, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Mar 15, 2013 · Santa Paula, Ca
- W•••• F•••• I••••••••• L•• unclassifiedDec 16, 2008 to Jan 3, 2011 · Santa Paula, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Apr 18, 2022, registered Apr 15, 2022 (-3 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 23, 2019, registered Jun 14, 2019 (22 days) · Wirehouse to wirehouse
- 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
- W•••••• D•••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for W•••• F•••• A••••••• (registered 2022-04-15)Apr 18, 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address