DFX Intelligence

RIA Intelligence

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This advisor's name

Career history, every move, licensing and registration changes, outside business activity and the contact routes the firm publishes, each with the official record linked.

Includes 3 days of DFX Intelligence. Then $249/month unless canceled.

A Financial Advisor In California

Registered advisorat Strategic Advisers LLCDual registrant· Sunnyvale, CaIAPD 7388439
At current firm
1 y
since Mar 31, 2025
In the industry
5 y
Prior registered firms
1
Signals
0
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Recruiter brief
facts first, then what DFX measured about them; never a statement of intent
Recruiting value
  • Practice attractivenessnone
    no observable scale indicator beyond registration
  • Team depthnone
    0 of the 0 people who once moved firms with this advisor are registered here now (a team seen in registrations; web team pages are not used until they pass review).
  • Entrepreneurial profilenone
    Named in the full brief.
  • Real estate activitynone
    Named in the full brief.
  • Contactabilityweak
    no contact route found
Movement evidence
  • Movement signalnotable
    2 of 3 dated or circumstantial readings historically went with moving: 20%+ of the office left in the prior 180 days; two or more known colleagues moved in the prior 180 days. The forward-tested move model places this advisor in its Baseline band.
  • Recent change activitysome
    Named in the full brief.
  • Independence preparationnone
    No concrete evidence of preparation for independence.
  • Historical mobilitynone
    1 prior firm, median stay 2.7 years.
Dated changes and circumstances, and what they have meant historically
  • move indicator20%+ of the office left in the prior 180 days
    Across all advisors, 12.6% with this moved within a year, against 4.9% without it (2.58x, 2023 to 2025 cohorts).
  • move indicatorTwo or more known colleagues moved in the prior 180 days
    At BROKERAGE_ADVISORY, 6.3% with this moved within a year, against 4.4% without it (1.44x, 2023 to 2025 cohorts).
  • weak move associationA known colleague moved to an independent RIA in the prior 180 days
    At BROKERAGE_ADVISORY, 5.1% with this moved within a year, against 4.5% without it (1.15x, 2023 to 2025 cohorts).
Career
  • 5 years in the industry
  • 1.5 years at the current firm
  • 1 prior registered firm; median stay 2.7 years
Source: SEC IAPD per-person record
Licensing and credentials
  • Registered in 14 states (firm median 2)
  • Exams: SIE, Series 66, Series 7TO
  • Registered as a broker as well as an adviser
Source: IAPD individual feed and the per-person IAPD record
Around this advisor
  • 3 of about 13 in the office left in the last 180 days
  • 5 known colleagues changed firms in the last year
  • 1 went to an independent RIA in the last 180 days
Regulatory record

In the full brief, with the official record linked.

+10 details in the full brief

The named explanations, the practice profile, what stands out and the conversation themes, with the official record linked.

Includes 3 days of DFX Intelligence. Then $249/month unless canceled.

Registration history
IAPD current and previous registrations
Moves
a registration end followed by a registration begin elsewhere
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
Brokerage advisory programderived
Years in industry
5 yderivedfrom the SEC's own industry start on the per-person IAPD record
Not published
disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote