DFX Intelligence
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Registered advisor
C••••••• U••••
Feed of 09/21/2026
Also filed as C••••••• U••••••••• A•••••• U••••••••• A•••••• U•••• •
At current firm
0 y
since Sep 19, 2026
In the industry
18 y
since Aug 1, 2008 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
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
- S•••••••• A••••••• L•• national BD currentsince Sep 19, 2026 · Pittsburg, Ca
- E•••••••• A•••••••• L•• national BDAug 8, 2025 to May 7, 2026 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to S•••••••• A••••••• L••left May 7, 2026, registered Sep 19, 2026 (135 days) · Affiliated broker-dealer or bank to another · moved with a team
Signals
- ••• LockedSep 19, 2026 · Advisor registered · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address