DFX Intelligence
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Registered advisor
P••••• E•••• R•••••
Feed of 09/15/2026
Also filed as P••• E•••• R••••••••• E•••• R••••••••• E•••• R••••••••• R••••••••• E•••• R••••••••• R••••• S•
At current firm
6 y
since Sep 30, 2019
In the industry
24 y
since Aug 29, 2002 (earliest exam, job or registration)
Prior registered firms
5
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
- W•••• F•••• A••••••• wirehouse currentsince Sep 30, 2019 · Fresno, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 10, 2019 · Merced, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Oct 1, 2012 · Merced, Ca
- W••• I••••••••• I••• unclassifiedOct 3, 2008 to May 2, 2009 · Merced, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 5, 2005 to Oct 2, 2008 · Modesto, Ca
- M••••• S•••••• D• I••• unclassifiedOct 10, 2002 to Jan 5, 2005 · Modesto, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Oct 10, 2019, registered Sep 30, 2019 (-10 days) · Wirehouse to wirehouse · moved with a team
- 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
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W••• I••••••••• I•••left Oct 2, 2008, registered Oct 3, 2008 (1 days) · Other
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 5, 2005, registered Jan 5, 2005 (0 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