DFX Intelligence
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Registered advisor
W•••••• L•••• W•••••••
Feed of 09/14/2026
Also filed as B••• W••••••••• L•••• W•••••••
At current firm
2 y
since Mar 4, 2024
In the industry
35 y
since Jan 1, 1991 (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
S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Mar 4, 2024 · Playa Del Rey, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 29, 2023 to Mar 6, 2024 · Los Angeles, Ca
- C••••• A•••••• N••••••• L•• formerJul 8, 1997 to Jun 29, 2023 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Mar 6, 2024, registered Mar 4, 2024 (-2 days) · Affiliated broker-dealer or bank to another
- C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedMar 6, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address