DFX Intelligence
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Registered advisor
L•••• A•• R••••••••
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseRancho Santa Fe, Cadual registrantIAPD 4246941
Feed of 09/14/2026
Also filed as L•••• A•• K••••••••• R••••••••• K••••••••• P•••••••
At current firm
4 y
since Feb 22, 2022
In the industry
25 y
since Nov 30, 2000 (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
S63, S66
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 Feb 22, 2022 · Rancho Santa Fe, Ca
- W•••• F•••• A••••••• wirehouseJun 19, 2019 to Jan 26, 2022 · Riverside, Ca
- A•••••• A••••••• S••••••• formerSep 23, 2015 to Jun 19, 2019 · Fontana, Ca
- M••••• S•••••• wirehouseOct 11, 2013 to Sep 22, 2015 · Ontario, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 17, 2012 to May 8, 2013 · Rancho Santa Fe, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 26, 2022, registered Feb 22, 2022 (27 days) · Wirehouse to wirehouse
- A•••••• A••••••• S••••••• to W•••• F•••• A•••••••left Jun 19, 2019, registered Jun 19, 2019 (0 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to A•••••• A••••••• S•••••••left Sep 22, 2015, registered Sep 23, 2015 (1 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left May 8, 2013, registered Oct 11, 2013 (156 days) · Wirehouse to wirehouse
Signals
- ••• LockedJan 26, 2022 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
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