DFX Intelligence
RIA Intelligence
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Registered advisor
C••••• D• P••••
Feed of 09/14/2026
At current firm
5 y
since Dec 21, 2020
In the industry
16 y
since Jan 1, 2010 (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
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- T••••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Dec 21, 2020 · Woodland Hills, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedFeb 14, 2018 to Dec 21, 2018 · San Diego, Ca
- M•• F•••••••• S•••••••• I••• formerApr 27, 2015 to Feb 24, 2016 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- I••••••••• F•••••••• G••••• L•• to T••••••••• F•••••••• A•••••••• L••left Dec 21, 2018, registered Dec 21, 2020 (731 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•• F•••••••• S•••••••• I••• to I••••••••• F•••••••• G••••• L••left Feb 24, 2016, registered Feb 14, 2018 (721 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address