DFX Intelligence
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Registered advisor
S••• A••
Feed of 09/14/2026
Also filed as S••• A••
At current firm
4 y
since Jul 19, 2022
In the industry
14 y
since Nov 1, 2011 (earliest exam, job or registration)
Prior registered firms
1
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
- J••• M••••• S••••••••• L•• wirehouse currentsince Jul 19, 2022 · Santa Clara, Ca
- W•••• F•••• A••••••• wirehouseJun 12, 2018 to Aug 4, 2022 · Santa Clara, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Aug 4, 2022, registered Jul 19, 2022 (-16 days) · Wirehouse to wirehouse · moved with a team
Signals
- S••• A•• left W•••• F•••• A••••••• for J••• M••••• S••••••••• L•• (registered 2022-07-19)Aug 4, 2022 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address