DFX Intelligence
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Registered advisor
S••• A•••••••• T•••••••
Feed of 09/14/2026
Also filed as S••• T•••••••
At current firm
2 y
since May 8, 2024
In the industry
15 y
since Oct 1, 2010 (earliest exam, job or registration)
Prior registered firms
2
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
- R•••••• J•••• • A••••••••• I••• national BD currentsince May 8, 2024 · Newport Beach, Ca
- M••••• S•••••• wirehouseFeb 18, 2014 to May 10, 2024 · Brea, Ca
- W•••• F•••• A••••••• wirehouseOct 4, 2010 to Feb 4, 2014 · Anaheim, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left May 10, 2024, registered May 8, 2024 (-2 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to M••••• S••••••left Feb 4, 2014, registered Feb 18, 2014 (14 days) · Wirehouse to wirehouse
Signals
- ••• LockedMay 10, 2024 · Advisor changed firm · fact
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address