DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
R••• S••• F••••
Feed of 09/14/2026
At current firm
1 y
since Nov 14, 2024
In the industry
23 y
since Apr 18, 2003 (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
S66, 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 · Ladera Ranch, Ca
- P•••• S••••••••• L•• no RAUMAug 5, 2019 to Nov 14, 2024 · Irvine, Ca
- E••••• J•••• national BDJul 3, 2014 to Mar 24, 2016 · Mission Viejo, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jul 14, 2014 · Mission Viejo, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Oct 1, 2012 · San Clemente, Ca
- W••• I••••••••• I••• unclassifiedDec 16, 2008 to May 2, 2009 · San Clemente, Ca
All 9 prior registrationsShow fewer
- T• A••••••••• I••• formerFeb 12, 2007 to Dec 8, 2008 · Mission Viejo, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 12, 2007 to Dec 8, 2008 · Laguna Hills, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 16, 2004 to Nov 30, 2005 · San Diego, Ca
- A• G• E•••••• • S•••• I••• unclassifiedApr 18, 2003 to May 28, 2004 · San Marcos, 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
- E••••• J•••• to P•••• S••••••••• L••left Mar 24, 2016, registered Aug 5, 2019 (1229 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to E••••• J••••left Jul 14, 2014, registered Jul 3, 2014 (-11 days) · Wirehouse to affiliated broker-dealer or bank
- 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
All 9 movesShow fewer
- T• A••••••••• I••••••••• M••••••••• L•• to W••• I••••••••• I•••left Dec 8, 2008, registered Dec 16, 2008 (8 days) · Other
- T• A••••••••• I••• to W••• I••••••••• I•••left Dec 8, 2008, registered Dec 16, 2008 (8 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Nov 30, 2005, registered Feb 12, 2007 (439 days) · Other
- A• G• E•••••• • S•••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 28, 2004, registered Jun 16, 2004 (19 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address