DFX Intelligence
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Registered advisor
M•••••• L• H•••
Feed of 09/14/2026
Also filed as M•••••• L•• H•••
At current firm
2 y
since Mar 26, 2024
In the industry
33 y
since Oct 27, 1992 (earliest exam, job or registration)
Prior registered firms
2
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
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 26, 2024 · Los Angeles, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerMay 21, 2015 to Mar 20, 2025 · Los Angeles, Ca
- E••••••• A•••• M••••••••• unclassifiedJul 8, 1997 to Jun 17, 2005 · Pasadena, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••left Mar 20, 2025, registered Mar 26, 2024 (-359 days) · corporate re-registration, not a move
- E••••••• A•••• M••••••••• to J••• M••••• P•••••• W••••• A••••••• L••left Jun 17, 2005, registered May 21, 2015 (3625 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
- Wirehousederived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address