DFX Intelligence
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Feed of 09/14/2026
Also filed as E••• B•••••••• S••••• B•••
At current firm
2 y
since Feb 15, 2024
In the industry
13 y
since Mar 1, 2013 (earliest exam, job or registration)
Prior registered firms
2
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
- F••••• I••••••••• independent RIA currentsince Feb 15, 2024 · Plano, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 17, 2023 to Feb 12, 2024 · Woodland Hills, Ca
- P•••• S••••••••• L•• no RAUMAug 19, 2022 to Feb 3, 2023 · Sherman Oaks, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••• I•••••••••left Feb 12, 2024, registered Feb 15, 2024 (3 days) · Wirehouse to independent RIA
- P•••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 3, 2023, registered Feb 17, 2023 (14 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
Signals
- ••• LockedFeb 12, 2024 · Advisor changed firm · fact
- ••• LockedFeb 3, 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address