DFX Intelligence
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Registered advisor
B•••• W••••• D••••••••
Feed of 09/14/2026
At current firm
5 y
since Nov 3, 2020
In the industry
17 y
since Jul 1, 2009 (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
- E•••••••• A•••••••• L•• national BD currentsince Nov 3, 2020 · San Diego, Ca
- A••••• A•• P••••••• S••••••• BD affiliatedMay 18, 2016 to Nov 13, 2020 · San Diego, Ca
- E•••••••• A•••••••• L•• national BDJul 2, 2009 to Apr 26, 2016 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to E•••••••• A•••••••• L••left Nov 13, 2020, registered Nov 3, 2020 (-10 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to A••••• A•• P••••••• S•••••••left Apr 26, 2016, registered May 18, 2016 (22 days) · Other
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address