DFX Intelligence
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Registered advisor
R••••• A• R•••••••
Feed of 09/14/2026
Also filed as R••••• A•••••• R•••••••
At current firm
13 y
since Feb 1, 2013
In the industry
45 y
since Jan 13, 1981 (earliest exam, job or registration)
Prior registered firms
2
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
- U•• F•••••••• S••••••• I••• wirehouse currentsince Feb 1, 2013 · Brea, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 15, 2013 · Brea, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 8, 1997 to Jun 1, 2009 · Brea, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Feb 15, 2013, registered Feb 1, 2013 (-14 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address