DFX Intelligence
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Feed of 09/15/2026
Also filed as S•• S•••••
At current firm
7 y
since Mar 29, 2019
In the industry
15 y
since Apr 13, 2011 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Mar 29, 2019 · Marina, Ca
- C••• F•••••••• S•••••••• L••• formerFeb 11, 2013 to Mar 29, 2019 · Capitola, Ca
- W•••• F•••• A••••••• wirehouseMay 19, 2011 to Jul 17, 2012 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left Mar 29, 2019, registered Mar 29, 2019 (0 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to C••• F•••••••• S•••••••• L•••left Jul 17, 2012, registered Feb 11, 2013 (209 days) · Other
Signals
No dated event on this person.
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address