DFX Intelligence
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Registered advisor
B•••••• S••• F••••
R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedSan Francisco, Ca dual registrantIAPD 5957389
Feed of 09/14/2026
Also filed as B•••••• S• F••••
At current firm
3 y
since Jun 30, 2023
In the industry
15 y
since Aug 23, 2011 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
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
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jun 30, 2023 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseJan 5, 2017 to Jul 11, 2023 · Roseville, Ca
- J••• M••••• S••••••••• L•• wirehouseApr 22, 2015 to Jan 10, 2017 · Roseville, Ca
- M••••• S•••••• wirehouseJan 24, 2015 to Mar 9, 2015 · Menlo Park, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 11, 2023, registered Jun 30, 2023 (-11 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jan 10, 2017, registered Jan 5, 2017 (-5 days) · Wirehouse to wirehouse
- M••••• S•••••• to J••• M••••• S••••••••• L••left Mar 9, 2015, registered Apr 22, 2015 (44 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedJul 11, 2023 · Advisor changed firm · fact
Transition signals
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