DFX Intelligence
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Feed of 09/14/2026
At current firm
8 y
since Aug 23, 2018
In the industry
16 y
since Aug 6, 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
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Aug 23, 2018 · Lodi, Ca
- W•••• F•••• A••••••• wirehouseSep 18, 2015 to Aug 28, 2018 · Lodi, Ca
- W•••• F•••• A••••••• wirehouseAug 9, 2010 to Sep 18, 2015 · Stockton, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to L•• F•••••••• L••left Aug 28, 2018, registered Aug 23, 2018 (-5 days) · Wirehouse to independent RIA · moved with a team
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Sep 18, 2015, registered Sep 18, 2015 (0 days) · channel change inside one enterprise, not a move · moved with a team
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address