DFX Intelligence
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Registered advisor
P••••••• S•••••• A•••••
Feed of 09/14/2026
At current firm
17 y
since Jun 9, 2009
In the industry
22 y
since Jul 2, 2004 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- L•• F•••••••• L•• BD affiliated currentsince Jun 9, 2009 · Visalia, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 8, 2004 to Jun 16, 2009 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••left Jun 16, 2009, registered Jun 9, 2009 (-7 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address