DFX Intelligence
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Registered advisor
D••••• P•••• S•••
Feed of 09/14/2026
Also filed as P•••• S•••
At current firm
4 y
since Jul 15, 2022
In the industry
35 y
since Mar 20, 1991 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 15, 2022 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseAug 7, 2013 to Jul 26, 2022 · Los Angeles, Ca
- M••••• S•••••• wirehouseMar 10, 2010 to Aug 14, 2013 · Beverly Hills, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 8, 1997 to Mar 26, 2008 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 26, 2022, registered Jul 15, 2022 (-11 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Aug 14, 2013, registered Aug 7, 2013 (-7 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Mar 26, 2008, registered Mar 10, 2010 (714 days) · Other
Signals
- ••• LockedJul 26, 2022 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address