DFX Intelligence
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Registered advisor
A••••• O••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as A••••• A• O••••••••• A•••••• O••••••••• O••••
At current firm
2 y
since Mar 4, 2024
In the industry
15 y
since Aug 22, 2011 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Mar 4, 2024 · Rancho Mission Viejo, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 13, 2020 to Feb 26, 2024 · San Diego, Ca
- U••• B•••••• I••••••••• I••• formerJul 13, 2018 to Jan 23, 2020 · San Diego, Ca
- W•••• F•••• A••••••• wirehouseSep 20, 2016 to Jun 28, 2018 · San Diego, Ca
- U••• B•••••• I••••••••• I••• formerMay 21, 2013 to Sep 23, 2016 · San Diego, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Apr 10, 2013 · El Cajon, Ca
All 6 prior registrationsShow fewer
- C•••• I••••••••• S••••••• C•••• formerJul 17, 2012 to Oct 1, 2012 · El Cajon, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Feb 26, 2024, registered Mar 4, 2024 (7 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U••• B•••••• I••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 23, 2020, registered Jan 13, 2020 (-10 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••left Jun 28, 2018, registered Jul 13, 2018 (15 days) · Wirehouse to affiliated broker-dealer or bank
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Sep 23, 2016, registered Sep 20, 2016 (-3 days) · Other
- J••• M••••• S••••••••• L•• to U••• B•••••• I••••••••• I•••left Apr 10, 2013, registered May 21, 2013 (41 days) · Other
All 6 movesShow fewer
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedFeb 26, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address