DFX Intelligence
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Feed of 09/14/2026
Also filed as G••• L• G•••••••
At current firm
3 y
since Apr 28, 2023
In the industry
22 y
since Dec 11, 2003 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
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••••• S•••••• wirehouse currentsince Apr 28, 2023 · Irvine, Ca
- W•••• F•••• A••••••• wirehouseAug 4, 2016 to May 10, 2023 · Irvine, Ca
- U••• B•••••• I••••••••• I••• formerJun 13, 2012 to Aug 3, 2016 · Stanton, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jun 19, 2012 · Diamond Bar, Ca
- W•••• F•••• I••••••••• L•• unclassifiedApr 6, 2010 to Jan 3, 2011 · Diamond Bar, Ca
- W•••• F•••• A••••••• wirehouseJun 4, 2007 to Mar 25, 2010 · Ontario, Ca
All 6 prior registrationsShow fewer
- W•••• F•••• I••••••••• L•• unclassifiedDec 12, 2003 to May 15, 2007 · Chino, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M••••• S••••••left May 10, 2023, registered Apr 28, 2023 (-12 days) · Wirehouse to wirehouse · moved with a team
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Aug 3, 2016, registered Aug 4, 2016 (1 days) · Other
- W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••left Jun 19, 2012, registered Jun 13, 2012 (-6 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to W•••• F•••• I••••••••• L••left Mar 25, 2010, registered Apr 6, 2010 (12 days) · Other
All 6 movesShow fewer
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left May 15, 2007, registered Jun 4, 2007 (20 days) · Other
Signals
- ••• LockedMay 10, 2023 · 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address