DFX Intelligence
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Registered advisor
M•••• L•• C•••••
Feed of 09/14/2026
Also filed as M•••• L•••••••• L• C•••••
At current firm
3 y
since Dec 2, 2022
In the industry
25 y
since Dec 4, 2000 (earliest exam, job or registration)
Prior registered firms
1
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 Dec 2, 2022 · Brea, Ca
- W•••• F•••• A••••••• wirehouseDec 1, 2020 to Dec 14, 2022 · Walnut, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 14, 2022, registered Dec 2, 2022 (-12 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedDec 14, 2022 · Advisor changed firm · fact
Transition signals
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