DFX Intelligence
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Registered advisor
T••••• D•••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as T••••• D••••••••• C•••••• D••••••••• C• D•••••••
At current firm
1 y
since Mar 31, 2025
In the industry
10 y
since Jan 19, 2016 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · San Jose, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerDec 6, 2022 to Mar 31, 2025 · San Jose, Ca
- J••• M••••• S••••••••• L•• wirehouseSep 7, 2021 to Oct 20, 2022 · Beverly Hills, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 3, 2017 to Dec 31, 2020 · Encino, Ca
- T• A••••••••• I••• formerApr 3, 2017 to Jan 11, 2021 · Encino, Ca
- C•••••• S••••• • C••• I••• national BDAug 2, 2016 to Mar 16, 2017 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
- 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
- J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 20, 2022, registered Dec 6, 2022 (47 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- T• A••••••••• I••• to J••• M••••• S••••••••• L••left Jan 11, 2021, registered Sep 7, 2021 (239 days) · Other · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Apr 3, 2017 (-1368 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 16, 2017, registered Apr 3, 2017 (18 days) · Other
Signals
- ••• LockedOct 20, 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address