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
T•••• F•••••• R•••••
Feed of 09/14/2026
At current firm
13 y
since Aug 12, 2013
In the industry
15 y
since Mar 30, 2011 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 12, 2013 · San Diego, Ca
- V••• F•••••••• A•••••••• I••• BD affiliatedSep 25, 2012 to Aug 5, 2013 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- V••• F•••••••• A•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Aug 5, 2013, registered Aug 12, 2013 (7 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address