DFX Intelligence
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Registered advisor
R•••••• C•••
Feed of 09/15/2026
At current firm
10 y
since Sep 15, 2016
In the industry
13 y
since Nov 8, 2012 (earliest exam, job or registration)
Prior registered firms
3
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince Sep 15, 2016 · Pasadena, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedAug 17, 2015 to Aug 1, 2016 · Pasadena, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 12, 2013 to Sep 8, 2015 · San Antonio, Tx
- W•••••• • R••• formerNov 9, 2012 to Jun 20, 2013 · Pasadena, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to U•• F•••••••• S••••••• I•••left Aug 1, 2016, registered Sep 15, 2016 (45 days) · Other
- C•••••••• G••••• M•••••• I••• to C••••• I••••••••• A••••••• L••left Sep 8, 2015, registered Aug 17, 2015 (-22 days) · Other
- W•••••• • R••• to C•••••••• G••••• M•••••• I•••left Jun 20, 2013, registered Jun 12, 2013 (-8 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address