DFX Intelligence
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Registered advisor
M••• T••• L••
Feed of 09/14/2026
Also filed as M••• T• L••••••• T• L••
At current firm
4 y
since Nov 22, 2021
In the industry
25 y
since May 21, 2001 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
- U•• F•••••••• S••••••• I••• wirehouse currentsince Nov 22, 2021 · San Diego, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerMay 16, 2018 to Sep 2, 2021 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 9, 2014 to Apr 24, 2018 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseJun 17, 2010 to Apr 21, 2014 · Los Angeles, Ca
- M••••• S•••••• • C•• L•• unclassifiedOct 25, 2001 to Feb 4, 2009 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• P•••••• W••••• A••••••• L•• to U•• F•••••••• S••••••• I•••left Sep 2, 2021, registered Nov 22, 2021 (81 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• P•••••• W••••• A••••••• L••left Apr 24, 2018, registered May 16, 2018 (22 days) · Wirehouse to independent RIA · moved with a team
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 21, 2014, registered Apr 9, 2014 (-12 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Feb 4, 2009, registered Jun 17, 2010 (498 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address