DFX Intelligence
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Feed of 09/14/2026
Also filed as S•••• R• W••••
At current firm
3 y
since Aug 7, 2023
In the industry
20 y
since Jan 10, 2006 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- W••••••••• I••• former currentsince Aug 7, 2023 · Fallbrook, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Aug 5, 2023 · Fallbrook, Ca
- C•••• I••••••••• S••••••• C•••• formerJun 8, 2010 to Oct 1, 2012 · Fallbrook, Ca
- U•• F•••••••• S••••••• I••• wirehouseNov 30, 2007 to Oct 6, 2009 · Carlsbad, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Nov 13, 2007 · Carlsbad, Ca
- M••••• S•••••• D• I••• unclassifiedJan 11, 2006 to Apr 2, 2007 · Carlsbad, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to W••••••••• I•••left Aug 5, 2023, registered Aug 7, 2023 (2 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to C•••• I••••••••• S••••••• C••••left Oct 6, 2009, registered Jun 8, 2010 (245 days) · Other
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Nov 13, 2007, registered Nov 30, 2007 (17 days) · Other
- 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
- ••• LockedAug 5, 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
- Former SEC-registered adviserderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address