DFX Intelligence
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Registered advisor
W•••••• A••••• D• B••••
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as W•••••• B••••••••• A••••• D• B••••••••• A••••• D••••••••• B••••••••• A••• B••••
At current firm
4 y
since Jul 1, 2022
In the industry
10 y
since Mar 4, 2016 (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
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
- F•••• P••••••• W•••••• L•• independent RIA currentsince Jul 1, 2022 · Los Angeles, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 15, 2019 to Jun 23, 2022 · La Canada-Flintridge, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 9, 2016 to May 7, 2019 · Santa Monica, Ca
- R•••••• J•••• • A••••••••• I••• national BDSep 6, 2016 to Nov 17, 2016 · Los Angeles, Ca
- D••••••• B••• S••••••••• I••• no RAUMMar 8, 2016 to Sep 6, 2016 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to F•••• P••••••• W•••••• L••left Jun 23, 2022, registered Jul 1, 2022 (8 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left May 7, 2019, registered May 15, 2019 (8 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- R•••••• J•••• • A••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 17, 2016, registered Dec 9, 2016 (22 days) · Affiliated broker-dealer or bank to wirehouse
- D••••••• B••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 6, 2016, registered Sep 6, 2016 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedJun 23, 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
- Independent wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address