DFX Intelligence
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Registered advisor
A••••• S•••••• F••••
Feed of 09/14/2026
Also filed as A••••• F•••••••• F••••
At current firm
1 y
since May 8, 2025
In the industry
21 y
since Dec 16, 2004 (earliest exam, job or registration)
Prior registered firms
5
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince May 8, 2025 · Mission Viejo, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMar 6, 2020 to May 29, 2025 · Mission Viejo, Ca
- J••• M••••• S••••••••• L•• wirehouseMar 12, 2015 to Mar 17, 2020 · Newport Beach, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 12, 2015 · Long Beach, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Long Beach, Ca
- M••••• S•••••• D• I••• unclassifiedOct 24, 2005 to Apr 2, 2007 · Long Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left May 29, 2025, registered May 8, 2025 (-21 days) · Affiliated broker-dealer or bank to another · moved with a team
- J••• M••••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Mar 17, 2020, registered Mar 6, 2020 (-11 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to J••• M••••• S••••••••• L••left Mar 12, 2015, registered Mar 12, 2015 (0 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedMay 29, 2025 · 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
- 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