DFX Intelligence
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Registered advisor
S•••••• T••••
Feed of 09/15/2026
Also filed as S•••••• E••••• T••••
At current firm
4 y
since Jun 13, 2022
In the industry
10 y
since Oct 17, 2015 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Jun 13, 2022 · Torrance, Ca
- J••• M••••• S••••••••• L•• wirehouseDec 16, 2019 to Jun 22, 2022 · Redondo Beach, Ca
- E•••••••• A•••••••• L•• national BDJun 6, 2016 to Oct 7, 2019 · Los Angeles, Ca
- W•••••• • R••• formerOct 19, 2015 to Mar 10, 2016 · Brea, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jun 22, 2022, registered Jun 13, 2022 (-9 days) · Wirehouse to wirehouse · moved with a team
- E•••••••• A•••••••• L•• to J••• M••••• S••••••••• L••left Oct 7, 2019, registered Dec 16, 2019 (70 days) · Affiliated broker-dealer or bank to wirehouse
- W•••••• • R••• to E•••••••• A•••••••• L••left Mar 10, 2016, registered Jun 6, 2016 (88 days) · Other
Signals
- ••• LockedJun 22, 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
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address