DFX Intelligence
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Registered advisor
S•••• E••••• B•••••
Feed of 09/14/2026
At current firm
1 y
since Jan 1, 2025
In the industry
31 y
since Apr 27, 1995 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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 Jan 1, 2025 · Long Beach, Ca
- W•••• F•••• A••••••• wirehouseJul 25, 2003 to Nov 30, 2018 · Long Beach, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Aug 1, 2003 · Long Beach, Ca
- P••••••••• E••••• G••••• L•• unclassifiedMar 1, 2001 to Jul 1, 2003 · Long Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to L•• F•••••••• L••left Nov 30, 2018, registered Jan 1, 2025 (2224 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Aug 1, 2003, registered Jul 25, 2003 (-7 days) · channel change inside one enterprise, not a move
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
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