DFX Intelligence
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Registered advisor
D••••• G••••
Feed of 09/14/2026
At current firm
2 y
since Jun 14, 2024
In the industry
14 y
since May 11, 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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Milpitas, Ca
- S••••••••• A•••••• A•••••••• I••• formerSep 21, 2017 to Jun 14, 2024 · Milpitas, Ca
- L•• F•••••••• L•• BD affiliatedSep 5, 2017 to Sep 28, 2017 · Milpitas, Ca
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 18, 2016 to Sep 22, 2017 · Milpitas, Ca
- N•• A•••••• S•••••••• L•• formerJan 14, 2013 to Sep 22, 2016 · Milpitas, Ca
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Sep 28, 2017, registered Sep 21, 2017 (-7 days) · Other · moved with a team
- K••••• A••••••• S•••••••• L•• to L•• F•••••••• L••left Sep 22, 2017, registered Sep 5, 2017 (-17 days) · Other · moved with a team
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 18, 2016 (-157 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address