DFX Intelligence
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Registered advisor
C•••••• L• P••••
Feed of 09/14/2026
Also filed as S•••• P••••••••• L• P••••••••• L•••••••• P••••••••• L•••••••• P••••
At current firm
22 y
since Jul 1, 2004
In the industry
28 y
since Jan 30, 1998 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
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
- P••• A••••• S••••••••• L•• BD affiliated currentsince Jul 1, 2004 · Irvine, Ca
- P•••• S••••••••• L•• no RAUMMar 18, 1998 to Apr 20, 2004 · Fountain Valley, Ca
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to P••• A••••• S••••••••• L••left Apr 20, 2004, registered Jul 1, 2004 (72 days) · Other
Signals
No dated event on this person.
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address