DFX Intelligence
RIA 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
N•••• L••••• M•••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as N•••• L••••• M•••••••
At current firm
10 y
since Oct 1, 2015
In the industry
22 y
since Dec 2, 2003 (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
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 Oct 1, 2015 · Beverly Hills, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerDec 11, 2013 to Oct 9, 2015 · Beverly Hills, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 17, 2012 to Dec 6, 2013 · Los Angeles, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJan 8, 2007 to Jan 25, 2012 · Newport Beach, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDDec 4, 2003 to Dec 20, 2006 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- B••••••• I••••••••• S•••••••• I••• ••••• to W•••• F•••• A•••••••left Oct 9, 2015, registered Oct 1, 2015 (-8 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Dec 6, 2013, registered Dec 11, 2013 (5 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 25, 2012, registered Jan 17, 2012 (-8 days) · Affiliated broker-dealer or bank to wirehouse
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address