DFX Intelligence
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Registered advisor
R•• S•••••••
Feed of 09/14/2026
Also filed as R•• R• S••••••••• S••••••••• R••••• S•••••••
At current firm
1 y
since Apr 26, 2025
In the industry
13 y
since Jul 3, 2013 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Apr 26, 2025 · Thousand Oaks, Ca
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Apr 24, 2025 · Boston, Ma
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 6, 2023 to Mar 31, 2025 · Thousand Oaks, Ca
- C•••••• S••••• • C••• I••• national BDJan 26, 2022 to Feb 24, 2023 · Thousand Oaks, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 4, 2016 to Feb 24, 2023 · Thousand Oaks, Ca
- T• A••••••••• I••• formerJan 4, 2016 to Oct 14, 2022 · Thousand Oaks, Ca
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Apr 24, 2025, registered Apr 26, 2025 (2 days) · Affiliated broker-dealer or bank to another · moved with a team
- 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••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Feb 24, 2023, registered Jan 26, 2022 (-394 days) · channel change inside one enterprise, not a move
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 24, 2023, registered Apr 6, 2023 (41 days) · Affiliated broker-dealer or bank to another · moved with a team
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Jan 4, 2016 (-2475 days) · corporate re-registration, not a move
Signals
- ••• LockedApr 24, 2025 · Advisor changed firm · fact
- ••• LockedFeb 24, 2023 · Advisor changed firm · 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.
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