DFX Intelligence
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Registered advisor
S•••••• L•• A••••••
Feed of 09/15/2026
Also filed as S•••••• G••••• A••••••••• L•• G••••••••• L•• G••••••••• L• A••••••
At current firm
11 y
since Aug 21, 2015
In the industry
25 y
since May 22, 2001 (earliest exam, job or registration)
Prior registered firms
3
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
- U•• F•••••••• S••••••• I••• wirehouse currentsince Aug 21, 2015 · Seal Beach, Ca
- M••••• S•••••• wirehouseMar 14, 2011 to Aug 14, 2015 · Long Beach, Ca
- U•• F•••••••• S••••••• I••• wirehouseDec 9, 2008 to Apr 15, 2009 · Seal Beach, Ca
- U•• F•••••••• S••••••• I••• wirehouseSep 14, 2004 to Oct 31, 2008 · Long Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Aug 14, 2015, registered Aug 21, 2015 (7 days) · Wirehouse to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Apr 15, 2009, registered Mar 14, 2011 (698 days) · Wirehouse to wirehouse
Signals
No dated event on this person.
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