DFX Intelligence
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Registered advisor
J••••••• L• S•••••
Feed of 09/14/2026
Also filed as J••••••• L••• T••••••••• L••• P••••••••• L••• P••••••••• L••• P••••••••• L••• P••••••••• L••• T••••••••• L••• P••••••••• L••• S•••••
At current firm
1 y
since May 15, 2025
In the industry
19 y
since Jan 29, 2007 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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 May 15, 2025 · Austin, Tx
- C••• F•••••••• S•••••••• L••• formerMay 26, 2020 to May 15, 2025 · Yuma, Az
- M••••• S•••••• wirehouseJul 8, 2013 to Oct 21, 2019 · Sacramento, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 17, 2011 to Jan 14, 2013 · Sacramento, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 10, 2008 to Sep 23, 2010 · Sacramento, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 30, 2007 to Jul 14, 2008 · Roseville, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to C••• F•••••••• S•••••••• L•••left Oct 21, 2019, registered May 26, 2020 (218 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jan 14, 2013, registered Jul 8, 2013 (175 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 14, 2008, registered Jul 10, 2008 (-4 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address