DFX Intelligence
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Registered advisor
R••••• L••••••• O••••••
Feed of 09/14/2026
Also filed as R••••• L••••••• O••••••••• O••••••••• O••••••••• L••••••• O••••••••• O••••••
At current firm
2 y
since May 20, 2024
In the industry
23 y
since Jan 2, 2003 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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 May 20, 2024 · Frisco, Tx
- W•••••• • R••• formerJan 2, 2003 to Oct 6, 2006 · Costa Mesa, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••••• • R••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 6, 2006, registered May 20, 2024 (6436 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address