DFX Intelligence
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J•••••• A••• C••••
Registered advisorat A••••••••• F•••••••• S•••••••• L••Dual registrant· Newport Beach, Ca IAPD 6170426
As of · the IAPD feed; also filed as J•••••• A••• B••••
- At current firm
- 1 y
- In the industry
- 13 y
- Prior registered firms
- 1
- Signals
- 1
since Jul 17, 2025
As of · the IAPD feed; also filed as J•••••• A••• B••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 17, 2025 · Aliso Viejo, Ca
- M••••• S•••••• wirehouseAug 18, 2023 to Jun 17, 2025 · Irvine, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Jun 17, 2025, registered Jul 17, 2025 (30 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedJun 17, 2025 · Advisor changed firm · fact
Transition signals
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
- 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