DFX Intelligence
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Feed of 09/14/2026
Also filed as S•• F••••••••• S•••• F•••••
At current firm
1 y
since Mar 31, 2025
In the industry
13 y
since Feb 11, 2013 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Alpine, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 12, 2024 to Mar 31, 2025 · El Cajon, Ca
- T• A••••••••• I••• formerJul 20, 2018 to May 14, 2020 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 9, 2015 to Nov 30, 2016 · El Cajon, Ca
- U••• B•••••• I••••••••• I••• formerJun 25, 2015 to Jul 29, 2015 · El Cajon, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left May 14, 2020, registered Jun 12, 2024 (1490 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••left Nov 30, 2016, registered Jul 20, 2018 (597 days) · Other · moved with a team
- U••• B•••••• I••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 29, 2015, registered Sep 9, 2015 (42 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address