DFX Intelligence
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S•••• L••••••••
As of · the IAPD feed; also filed as S•••• A• L••••••••• A••• L••••••••
- At current firm
- 5 y
- In the industry
- 13 y
- Prior registered firms
- 3
- Signals
- 1
since Mar 30, 2021
As of · the IAPD feed; also filed as S•••• A• L••••••••• A••• L••••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• brokerage advisory currentsince Mar 30, 2021 · Newport Beach, Ca
- T• A••••••••• I••••••••• M••••••••• L•• brokerage advisoryJan 23, 2022 to Sep 7, 2023 · San Diego, Ca
- T• A••••••••• I••• brokerage advisoryJan 23, 2022 to Oct 14, 2022 · San Diego, Ca
- S••••• W••••• A•••••••• I••• brokerage advisoryMar 5, 2019 to Mar 30, 2021 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to no registered destinationleft Sep 7, 2023 · Departure, no registered destination
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Jan 23, 2022 (-264 days) · corporate re-registration, not a move
- S••••• W••••• A•••••••• I••• to C•••••• S••••• • C••• I•••left Mar 30, 2021, registered Mar 30, 2021 (0 days) · channel change inside one enterprise, not a move
Signals
- ••• LockedSep 7, 2023 · Advisor departure · fact
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.
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Brokerage advisory programderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote