DFX Intelligence
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Registered advisor
E••••• I•••••• S•••
Feed of 09/14/2026
At current firm
8 y
since Feb 20, 2018
In the industry
21 y
since Nov 23, 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, 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
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Feb 20, 2018 · Los Angeles, Ca
- P•••• S••••••••• L•• no RAUMMay 10, 2013 to Jan 17, 2018 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Jan 17, 2018, registered Feb 20, 2018 (34 days) · Other · moved with a team
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address