DFX Intelligence
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Registered advisor
T••••• P•••••• K•••••
Feed of 09/15/2026
At current firm
8 y
since Jun 29, 2018
In the industry
33 y
since Jul 10, 1993 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
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
- W•••• F•••• A••••••• wirehouse currentsince Jun 29, 2018 · Newport Beach, Ca
- U•• F•••••••• S••••••• I••• wirehouseJul 19, 2010 to Jul 10, 2018 · Newport Beach, Ca
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedDec 11, 1997 to Aug 4, 2010 · Irvine, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Jul 10, 2018, registered Jun 29, 2018 (-11 days) · Wirehouse to wirehouse · moved with a team
- G•••••• S•••• W••••• S•••••••• L••• to U•• F•••••••• S••••••• I•••left Aug 4, 2010, registered Jul 19, 2010 (-16 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
- Wirehousederived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address