DFX Intelligence
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Registered advisor
M•••••• P•••••• L••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
1 y
since Jan 13, 2025
In the industry
20 y
since Dec 1, 2005 (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
2
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jan 13, 2025 · San Diego, Ca
- W••••• M•••••• G•••• formerJan 29, 2019 to Jan 15, 2023 · San Diego, Ca
- W••••• M•••••• G•••• L•• unclassifiedJan 18, 2017 to Jan 26, 2019 · San Diego, Ca
- O•••• W•••••• I••• BD affiliatedJun 5, 2007 to Jan 15, 2025 · San Diego, Ca
- W••••• M•••••• G•••• L•• unclassifiedMay 15, 2006 to Dec 31, 2016 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to W••••• M•••••• G•••• L••left Jan 15, 2025, registered Jan 18, 2017 (-2919 days) · Other
- W••••• M•••••• G•••• to L•• F•••••••• L••left Jan 15, 2023, registered Jan 13, 2025 (729 days) · RIA to affiliated broker-dealer or bank
- W••••• M•••••• G•••• L•• to W••••• M•••••• G••••left Jan 26, 2019, registered Jan 29, 2019 (3 days) · Other
- W••••• M•••••• G•••• L•• to O•••• W•••••• I•••left Dec 31, 2016, registered Jun 5, 2007 (-3497 days) · Other
Signals
- ••• LockedJan 15, 2025 · Advisor changed firm · fact
- ••• LockedJan 15, 2023 · 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address