DFX Intelligence
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Registered advisor
E••• C••••••• J••••••
Feed of 09/15/2026
Also filed as E••• C•••••••• J••••••••• C• J••••••
At current firm
1 y
since Oct 21, 2024
In the industry
25 y
since Nov 2, 2000 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 21, 2024 · Lakewood, Ca
- L•• F•••••••• L•• BD affiliatedMar 19, 2004 to Oct 28, 2024 · Westlake Village, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 6, 2001 to Apr 3, 2003 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Oct 28, 2024, registered Oct 21, 2024 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Apr 3, 2003, registered Mar 19, 2004 (351 days) · Other
Signals
- ••• LockedOct 28, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address