DFX Intelligence
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Registered advisor
L•••• M• S••••••
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseLos Angeles, Ca dual registrantIAPD 4592974
Feed of 09/15/2026
Also filed as S•••••• L••••••••• M• S••••••••• S••••••
At current firm
4 y
since Jul 15, 2022
In the industry
23 y
since Nov 21, 2002 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 15, 2022 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseFeb 24, 2012 to Jul 26, 2022 · Los Angeles, Ca
- R•• C•••••• M••••••• L•• national BDSep 16, 2008 to Mar 8, 2012 · Beverly Hills, Ca
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Sep 16, 2008 · Beverly Hills, Ca
- A• G• E•••••• • S•••• I••• unclassifiedFeb 28, 2005 to Jan 1, 2008 · Beverly Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 26, 2022, registered Jul 15, 2022 (-11 days) · Wirehouse to wirehouse · moved with a team
- R•• C•••••• M••••••• L•• to U•• F•••••••• S••••••• I•••left Mar 8, 2012, registered Feb 24, 2012 (-13 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Sep 16, 2008, registered Sep 16, 2008 (0 days) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedJul 26, 2022 · Advisor changed firm · fact
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address