DFX Intelligence
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Registered advisor
R•••••• C••••••••• A••••
Feed of 09/15/2026
Also filed as R•• A••••
At current firm
21 y
since Apr 6, 2005
In the industry
32 y
since Dec 22, 1993 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
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 Apr 6, 2005 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 12, 2004 to Jan 24, 2005 · La Jolla, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Jan 24, 2005, registered Apr 6, 2005 (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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address