DFX Intelligence
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Registered advisor
Y••••• G••••
Feed of 09/15/2026
Also filed as Y••••• V••••••
At current firm
1 y
since Jan 28, 2025
In the industry
11 y
since Jun 1, 2015 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Jan 28, 2025 · Sacramento, Ca
- L•• F•••••••• L•• BD affiliatedMay 18, 2022 to Jun 29, 2022 · Tustin, Ca
- C••• B•••••••• S•••••••• I••• formerAug 26, 2020 to May 18, 2022 · Tustin, Ca
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to E•••••• A••••••• G••••• L••left Jun 29, 2022, registered Jan 28, 2025 (944 days) · RIA to affiliated broker-dealer or bank
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedJun 29, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
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