DFX Intelligence
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Registered advisor
C••••••••• L••
Feed of 09/14/2026
Also filed as C••••••••• M•••••• L•••••••• L•••• C•••••••••
At current firm
2 y
since Mar 18, 2024
In the industry
20 y
since Apr 25, 2006 (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, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 18, 2024 · Irvine, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMar 8, 2013 to Jun 20, 2013 · Long Beach, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 9, 2009 to Jun 17, 2011 · Irvine, Ca
- W•••• F•••• A••••••• wirehouseSep 25, 2007 to Sep 11, 2009 · Irvine, Ca
- W•••• F•••• I••••••••• L•• unclassifiedApr 25, 2006 to Sep 12, 2007 · Rancho Santa Margarita, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to J••• M••••• S••••••••• L••left Jun 20, 2013, registered Mar 18, 2024 (3924 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Jun 17, 2011, registered Mar 8, 2013 (630 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 11, 2009, registered Sep 9, 2009 (-2 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Sep 12, 2007, registered Sep 25, 2007 (13 days) · Other
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address