DFX Intelligence
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Registered advisor
Z•• Y••• S••••••• Y•••
Feed of 09/14/2026
Also filed as Z•••••• S• Y••••••••• S••••••• Y••••••••• Y••••••• Y••• S••••••• Y•••
At current firm
1 y
since Apr 8, 2025
In the industry
12 y
since Dec 1, 2013 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Apr 8, 2025 · San Francisco, Ca
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Apr 4, 2025 · Boston, Ma
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 17, 2022 to Mar 31, 2025 · Sunnyvale, Ca
- C•••••• S••••• • C••• I••• national BDSep 20, 2016 to Jan 20, 2021 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Apr 4, 2025, registered Apr 8, 2025 (4 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
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 20, 2021, registered Oct 17, 2022 (635 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedApr 4, 2025 · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address