DFX Intelligence
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Registered advisor
Y••• C• C••••
Feed of 09/14/2026
Also filed as J•••• C••••••••• C• C••••••••• C••• C••••
At current firm
1 y
since Aug 24, 2025
In the industry
26 y
since Jul 10, 2000 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
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
- J••• M••••• S••••••••• L•• wirehouse currentsince Aug 24, 2025 · Fullerton, Ca
- J••• M••••• S••••••••• L•• wirehouseJun 6, 2019 to Dec 8, 2024 · Rancho Palos Verdes, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 21, 2016 to Sep 4, 2018 · West Covina, Ca
- S••••••••• A•••••• A•••••••• I••• formerFeb 23, 2015 to Apr 7, 2016 · Los Angeles, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 21, 2013 to Jan 27, 2015 · El Segundo, Ca
- P•••• S••••••••• L•• no RAUMJun 2, 2008 to Oct 11, 2012 · City Of Industry, Ca
- O•••• F•• I••• formerSep 24, 2007 to Dec 13, 2007 · Los Angeles, Ca
- S••••••• I••••••••• I••• formerAug 11, 2006 to Sep 5, 2007 · Pasadena, Ca
- E•••••••• A•••••••• L•• national BDOct 9, 2001 to Dec 16, 2004 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Sep 4, 2018, registered Jun 6, 2019 (275 days) · Wirehouse to wirehouse · moved with a team
- S••••••••• A•••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 7, 2016, registered Jul 21, 2016 (105 days) · Other
- M•• I•••••••• S•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Jan 27, 2015, registered Feb 23, 2015 (27 days) · Other
- P•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Oct 11, 2012, registered Aug 21, 2013 (314 days) · Other
- O•••• F•• I••• to P•••• S••••••••• L••left Dec 13, 2007, registered Jun 2, 2008 (172 days) · Other
- S••••••• I••••••••• I••• to O•••• F•• I•••left Sep 5, 2007, registered Sep 24, 2007 (19 days) · Other
- E•••••••• A•••••••• L•• to S••••••• I••••••••• I•••left Dec 16, 2004, registered Aug 11, 2006 (603 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address