DFX Intelligence
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Registered advisor
E•••• R•••••• N••••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as E•••• R•••••• L•••••
At current firm
11 y
since Jul 31, 2015
In the industry
20 y
since Sep 22, 2006 (earliest exam, job or registration)
Prior registered firms
3
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• L••• other currentsince Jul 31, 2015 · Denver, Co
- J••• M••••• S••••••••• L•• wirehouseMay 21, 2012 to Nov 6, 2012 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseJul 27, 2007 to Jul 6, 2010 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseSep 25, 2006 to Feb 6, 2007 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to A••••••••• L•••left Nov 6, 2012, registered Jul 31, 2015 (997 days) · Other
- U•• F•••••••• S••••••• I••• to J••• M••••• S••••••••• L••left Jul 6, 2010, registered May 21, 2012 (685 days) · Wirehouse to wirehouse
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Other adviserderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address