DFX Intelligence
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Registered advisor
R•••••• S•••••••••
Feed of 09/14/2026
Also filed as R••• S••••••••• S••••••••• D••••• S•••••••••
At current firm
2 y
since Jul 19, 2024
In the industry
21 y
since Jan 7, 2005 (earliest exam, job or registration)
Prior registered firms
4
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
- E••••• J•••• national BD currentsince Jul 19, 2024 · Westlake Village, Ca
- P•••• S••••••••• L•• no RAUMJun 7, 2018 to Sep 15, 2023 · Sherman Oaks, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 13, 2014 to Nov 18, 2016 · Calabasas, Ca
- W•••• F•••• A••••••• wirehouseJul 17, 2008 to Sep 25, 2014 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseJan 10, 2005 to Jul 31, 2008 · Las Vegas, Nv
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to E••••• J••••left Sep 15, 2023, registered Jul 19, 2024 (308 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••• S••••••••• L••left Nov 18, 2016, registered Jun 7, 2018 (566 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 25, 2014, registered Oct 13, 2014 (18 days) · Wirehouse to wirehouse
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Jul 31, 2008, registered Jul 17, 2008 (-14 days) · Wirehouse to wirehouse
Signals
- ••• LockedSep 15, 2023 · 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address