DFX Intelligence
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Registered advisor
C•••••• L•••• S••••••
Feed of 09/15/2026
At current firm
10 y
since Mar 17, 2016
In the industry
31 y
since Dec 8, 1994 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• W••••• P•••••••• L•• BD affiliated currentsince Mar 17, 2016 · Santa Monica, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 9, 2010 · La Jolla, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 28, 2002 to Jun 1, 2009 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to S•••••• W••••• P•••••••• L••left Sep 9, 2010, registered Mar 17, 2016 (2016 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address