DFX Intelligence
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Feed of 09/14/2026
Also filed as H•••• D••••• D••••••••• D•••••
At current firm
4 y
since Sep 6, 2022
In the industry
14 y
since Feb 1, 2012 (earliest exam, job or registration)
Prior registered firms
3
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
2
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• BD affiliated currentsince Sep 6, 2022 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedJun 15, 2022 to Sep 7, 2022 · San Diego, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedNov 3, 2021 to Jun 27, 2022 · San Diego, Ca
- U•• F•••••••• S••••••• I••• wirehouseFeb 1, 2021 to Nov 18, 2021 · La Jolla, Ca
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to M••••••left Sep 7, 2022, registered Sep 6, 2022 (-1 days) · RIA to affiliated broker-dealer or bank
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Jun 27, 2022, registered Jun 15, 2022 (-12 days) · Affiliated broker-dealer or bank to independent RIA
- U•• F•••••••• S••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 18, 2021, registered Nov 3, 2021 (-15 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedSep 7, 2022 · Advisor changed firm · fact
- ••• LockedJun 27, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address