DFX Intelligence
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Registered advisor
P•••••• T••• T•••••
Feed of 09/15/2026
Also filed as P•••••• T••• O••••••••• T••• C•••••••
At current firm
0 y
since Nov 17, 2025
In the industry
23 y
since Dec 12, 2002 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
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 Nov 17, 2025 · Santee, Ca
- S••••••••• A•••••• A•••••••• I••• formerDec 18, 2013 to Feb 13, 2023 · Irvine, Ca
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 5, 2009 to Dec 18, 2013 · Fullerton, Ca
- E••••• J•••• national BDMay 31, 2007 to Jan 8, 2009 · Costa Mesa, Ca
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Feb 13, 2023, registered Nov 17, 2025 (1008 days) · corporate re-registration, not a move
- V••• F•••••••• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Dec 18, 2013, registered Dec 18, 2013 (0 days) · Other
- E••••• J•••• to V••• F•••••••• A•••••••• I•••left Jan 8, 2009, registered Mar 5, 2009 (56 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address