DFX Intelligence
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Registered advisor
E•••• B••• A••••••••
Feed of 09/23/2026
Also filed as E•••• A••• B••••••••• B••• A••••••••
At current firm
1 y
since Oct 9, 2024
In the industry
12 y
since Nov 11, 2013 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 9, 2024 · Monterey, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMar 10, 2021 to Nov 1, 2023 · San Jose, Ca
- C•••••• S••••• • C••• I••• national BDAug 19, 2016 to Mar 15, 2018 · Los Altos, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 4, 2015 to Jul 29, 2016 · Morgan Hill, Ca
- S•••••••• A••••••• L•• national BDNov 11, 2013 to May 13, 2015 · Mountain View, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to A••••••••• F•••••••• S•••••••• L••left Mar 15, 2018, registered Mar 10, 2021 (1091 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Jul 29, 2016, registered Aug 19, 2016 (21 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 13, 2015, registered Dec 4, 2015 (205 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedSep 22, 2026 · New state registration · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address