DFX Intelligence
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Registered advisor
A••••• S•••••
Feed of 09/14/2026
At current firm
3 y
since Jan 20, 2023
In the industry
14 y
since Jan 18, 2012 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jan 20, 2023 · Seal Beach, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 16, 2021 to Jan 3, 2023 · Seal Beach, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 19, 2020 to Mar 12, 2021 · Fountain Valley, Ca
- L•• F•••••••• L•• BD affiliatedNov 8, 2012 to Feb 26, 2013 · Irvine, Ca
- P•••• S••••••••• L•• no RAUMOct 11, 2012 to Oct 23, 2012 · City Of Industry, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Jan 3, 2023, registered Jan 20, 2023 (17 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 12, 2021, registered Mar 16, 2021 (4 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- L•• F•••••••• L•• to C•••••••• G••••• M•••••• I•••left Feb 26, 2013, registered Nov 19, 2020 (2823 days) · Other
- P•••• S••••••••• L•• to L•• F•••••••• L••left Oct 23, 2012, registered Nov 8, 2012 (16 days) · Other
Signals
- ••• LockedJan 3, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address