DFX Intelligence
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Registered advisor
C•••••• L•• P•••
Feed of 09/14/2026
Also filed as C•••• P••••••••• L•• P••••••••• L•• P•••
At current firm
5 y
since Jul 15, 2021
In the industry
34 y
since Dec 3, 1991 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jul 15, 2021 · Folsom, Ca
- P••••••••• E••••• G••••• L•• unclassifiedJun 7, 2000 to Jun 6, 2002 · Roseville, Ca
Moves
a registration end followed by a registration begin elsewhere
- P••••••••• E••••• G••••• L•• to L•• F•••••••• L••left Jun 6, 2002, registered Jul 15, 2021 (6979 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address