DFX Intelligence
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Registered advisor
R•••••• P•••••• M••••••••
Feed of 09/14/2026
At current firm
0 y
since Jan 7, 2026
In the industry
15 y
since Sep 6, 2011 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Jan 7, 2026 · Corte Madera, Ca
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Dec 15, 2025 · Petaluma, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 17, 2023 to Mar 31, 2025 · Berkeley, Ca
- M••••• S•••••• wirehouseSep 5, 2023 to Oct 13, 2023 · San Francisco, Ca
- E•••••• C•••••• M••••••••• L•• formerMay 7, 2014 to Sep 5, 2023 · Arlington, Va
- M••••• S•••••• wirehouseSep 7, 2011 to Jun 28, 2013 · San Rafael, Ca
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Dec 15, 2025, registered Jan 7, 2026 (23 days) · Affiliated broker-dealer or bank to another · moved with a team
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 13, 2023, registered Nov 17, 2023 (35 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to E•••••• C•••••• M••••••••• L••left Jun 28, 2013, registered May 7, 2014 (313 days) · Other
Signals
- ••• LockedDec 15, 2025 · Advisor changed firm · fact
- ••• LockedOct 13, 2023 · Advisor changed firm · 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address