DFX Intelligence
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Registered advisor
R••••• A•• P•••••
Feed of 09/15/2026
Also filed as R••••• D••••••••• A•• D••••••••• A• P••••••••• A• D•••••••••
At current firm
11 y
since Oct 3, 2014
In the industry
36 y
since Jun 20, 1990 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Oct 3, 2014 · San Diego, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerJul 6, 2012 to Oct 7, 2014 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jul 10, 2012 · San Diego, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJun 28, 2007 to Jan 3, 2011 · San Diego, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 18, 2002 to Jun 29, 2007 · San Diego, Ca
- W•••• F•••• A••••••• wirehouseAug 31, 2000 to Sep 27, 2002 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• P•••••• W••••• A••••••• L•• to R•• C•••••• M••••••• L••left Oct 7, 2014, registered Oct 3, 2014 (-4 days) · Other
- W•••• F•••• A••••••• to J••• M••••• P•••••• W••••• A••••••• L••left Jul 10, 2012, registered Jul 6, 2012 (-4 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• I••••••••• L••left Jun 29, 2007, registered Jun 28, 2007 (-1 days) · Other
- W•••• F•••• A••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Sep 27, 2002, registered Sep 18, 2002 (-9 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address