DFX Intelligence
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Registered advisor
R••••• L•••• B••••
Feed of 09/15/2026
At current firm
11 y
since Nov 7, 2014
In the industry
46 y
since Sep 23, 1980 (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
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 7, 2014 · Newport Beach, Ca
- W•••• F•••• A••••••• wirehouseApr 1, 2005 to Nov 11, 2014 · Anaheim, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 8, 1997 to Apr 21, 2005 · Orange, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 11, 2014, registered Nov 7, 2014 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Apr 21, 2005, registered Apr 1, 2005 (-20 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
- National broker-dealer RIAderived
- Years in industry
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address