DFX Intelligence
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Registered advisor
A•••• C••••
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseLos Angeles, Ca dual registrantIAPD 2906858
Feed of 09/14/2026
Also filed as A•••• C••••
At current firm
13 y
since Aug 20, 2013
In the industry
28 y
since Dec 15, 1997 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Aug 20, 2013 · Los Angeles, Ca
- M••••• S•••••• wirehouseOct 31, 2011 to Aug 21, 2013 · Beverly Hills, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedSep 2, 2004 to Feb 2, 2010 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 21, 2013, registered Aug 20, 2013 (-1 days) · Wirehouse to wirehouse
- U••• B•••••• A•••••••• L•• to M••••• S••••••left Feb 2, 2010, registered Oct 31, 2011 (636 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address