DFX Intelligence
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Registered advisor
S•••••• W• L••
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseLos Angeles, Ca dual registrantIAPD 4340396
Feed of 09/14/2026
Also filed as S•••••• W• L••••••••• W• L••••••••• W••••• L••
At current firm
12 y
since Apr 17, 2014
In the industry
24 y
since Nov 26, 2001 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 17, 2014 · Los Angeles, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerApr 23, 2010 to Nov 15, 2013 · Orosi, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Apr 26, 2010 · Anaheim, Ca
- W••• I••••••••• I••• unclassifiedFeb 9, 2009 to May 2, 2009 · Anaheim, Ca
- P•••• S••••••••• L•• no RAUMApr 19, 2007 to Jan 29, 2009 · Irvine, Ca
- W••• I••••••••• I••• unclassifiedAug 20, 2003 to Aug 16, 2005 · Irvine, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMay 1, 2002 to Jul 9, 2003 · Irvine, Ca
Moves
a registration end followed by a registration begin elsewhere
- B••••••• I••••••••• S•••••••• I••• ••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 15, 2013, registered Apr 17, 2014 (153 days) · Other
- C•••• I••••••••• S••••••• C•••• to B••••••• I••••••••• S•••••••• I••• •••••left Apr 26, 2010, registered Apr 23, 2010 (-3 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- P•••• S••••••••• L•• to W••• I••••••••• I•••left Jan 29, 2009, registered Feb 9, 2009 (11 days) · Other
- W••• I••••••••• I••• to P•••• S••••••••• L••left Aug 16, 2005, registered Apr 19, 2007 (611 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W••• I••••••••• I•••left Jul 9, 2003, registered Aug 20, 2003 (42 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address