DFX Intelligence
RIA 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
F••••• I•••
Feed of 09/15/2026
Also filed as F••••• I•••
At current firm
3 y
since Aug 21, 2023
In the industry
14 y
since Nov 17, 2011 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
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
- F•••• T•••• S••••••••• I••• BD affiliated currentsince Jul 8, 2026 · Los Altos, Ca
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 21, 2023 · San Francisco, Ca
- C••••••• S••••••••• formerOct 30, 2019 to Nov 6, 2023 · San Francisco, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 18, 2017 to Nov 16, 2019 · San Francisco, Ca
- J••• M••••• S••••••••• L•• wirehouseDec 22, 2015 to Sep 27, 2017 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 15, 2014 to Jan 7, 2016 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseNov 18, 2011 to Dec 2, 2014 · Corte Madera, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••••••• S••••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 6, 2023, registered Aug 21, 2023 (-77 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to C••••••• S•••••••••left Nov 16, 2019, registered Oct 30, 2019 (-17 days) · Other
- J••• M••••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••left Sep 27, 2017, registered Sep 18, 2017 (-9 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Jan 7, 2016, registered Dec 22, 2015 (-16 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 2, 2014, registered Dec 15, 2014 (13 days) · Wirehouse to wirehouse
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address