DFX Intelligence
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Registered advisor
T•••• D• N•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as T•••• D•• N•••••
At current firm
1 y
since Mar 31, 2025
In the industry
10 y
since Aug 1, 2016 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Pasadena, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 26, 2021 to Mar 31, 2025 · Pasadena, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 17, 2019 to Jun 2, 2021 · Glendale, Ca
- P•••• S••••••••• L•• no RAUMMay 17, 2019 to Oct 23, 2019 · Irvine, Ca
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 Jun 2, 2021, registered Jul 26, 2021 (54 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- P•••• S••••••••• L•• to J••• M••••• S••••••••• L••left Oct 23, 2019, registered Oct 17, 2019 (-6 days) · Affiliated broker-dealer or bank to wirehouse
Signals
No dated event on this person.
Transition signals
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