DFX Intelligence
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Registered advisor
N•••••• P••• W•••••••••
Feed of 09/14/2026
Also filed as N•••••• P••• W••••••••• P••• W••••••••• P• W•••••••••
At current firm
2 y
since Jun 14, 2024
In the industry
11 y
since Jan 1, 2015 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65, S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Hermosa Beach, Ca
- S••••••••• A•••••• A•••••••• I••• formerSep 29, 2023 to Jun 14, 2024 · Torrance, Ca
- U•• F•••••••• S••••••• I••• wirehouseOct 20, 2022 to Mar 27, 2023 · Los Angeles, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 18, 2019 to Sep 6, 2022 · Torrance, Ca
- S•••••••• A••••••• L•• national BDMar 14, 2017 to Apr 11, 2018 · Greenwood Village, Co
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Mar 27, 2023, registered Sep 29, 2023 (186 days) · Wirehouse to affiliated broker-dealer or bank
- F••••••• P••••••• A•• W•••••••• A••••••• to U•• F•••••••• S••••••• I•••left Sep 6, 2022, registered Oct 20, 2022 (44 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 11, 2018, registered Sep 18, 2019 (525 days) · channel change inside one enterprise, not a move · moved with a team
Signals
- ••• LockedMar 27, 2023 · Advisor changed firm · fact
- ••• LockedSep 6, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address