DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
R••• L•••• W•••••
Feed of 09/14/2026
Also filed as R••• L• W••••••••• L•••• W••••••••• W•••••
At current firm
5 y
since Oct 21, 2020
In the industry
11 y
since Apr 1, 2015 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
5
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
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Oct 21, 2020 · Modesto, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMNov 5, 2019 to Jul 14, 2020 · Walnut Creek, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 23, 2017 to Apr 9, 2019 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to V•••• F•••••••• A•••••••• I•••left Jul 14, 2020, registered Oct 21, 2020 (99 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••••••••• M••••• I••••••••• S•••••••••left Apr 9, 2019, registered Nov 5, 2019 (210 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address