DFX Intelligence
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Registered advisor
X••••• J• K••••
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseHacienda Heights, Ca dual registrantIAPD 2979824
Feed of 09/15/2026
Also filed as J••••• K••••••••• K••••••••• K••••••••• J••• K••••••••• X• K••••••••• X•• J•• K••••
At current firm
4 y
since Apr 29, 2022
In the industry
28 y
since Feb 13, 1998 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 29, 2022 · Newport Beach, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Mar 29, 2022 · Calabasas, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Oct 1, 2012 · Los Angeles, Ca
- W••• I••••••••• I••• unclassifiedNov 14, 2008 to May 2, 2009 · Monterey Park, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 29, 2022, registered Apr 29, 2022 (31 days) · Wirehouse to wirehouse · moved with a team
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedMar 29, 2022 · Advisor changed firm · fact
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