DFX Intelligence
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Registered advisor
B••••• L••••• L••••
Feed of 09/15/2026
Also filed as B••••• L••••• L•••• •
At current firm
1 y
since Nov 14, 2024
In the industry
24 y
since Jun 7, 2002 (earliest exam, job or registration)
Prior registered firms
9
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Calimesa, Ca
- P•••• S••••••••• L•• no RAUMJul 21, 2020 to Nov 14, 2024 · Ontario, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Jul 14, 2020 · Calimesa, Ca
- M•• F•••••••• S•••••••• I••• formerAug 30, 2013 to Mar 25, 2017 · Redlands, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Aug 21, 2013 · San Jacinto, Ca
- C•••• I••••••••• S••••••• C•••• formerDec 21, 2010 to Oct 1, 2012 · San Jacinto, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Dec 15, 2010 · Fountain Valley, Ca
- C••••••• I••••••••• S••••••• unclassifiedJun 26, 2006 to May 29, 2007 · Loma Linda, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 1, 2003 to Jun 2, 2006 · Riverside, Ca
- M••••• S•••••• D• I••• unclassifiedNov 27, 2002 to Oct 9, 2003 · Redlands, Ca
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to P•••• S••••••••• L••left Jul 14, 2020, registered Jul 21, 2020 (7 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to M•• F•••••••• S•••••••• I•••left Aug 21, 2013, registered Aug 30, 2013 (9 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to C•••• I••••••••• S••••••• C••••left Dec 15, 2010, registered Dec 21, 2010 (6 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••••••• I••••••••• S•••••••left Jun 2, 2006, registered Jun 26, 2006 (24 days) · Other
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 9, 2003, registered Dec 1, 2003 (53 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address