DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
X••••• L••
Registered advisorat C•••••••• I••••••••• R••••••• A•••••••• I•••Dual registrant· Palo Alto, Ca IAPD 5071655
As of · the IAPD feed; also filed as M••• L••
- In the industry
- 19 y
- Prior registered firms
- 2
- Signals
- 0
As of · the IAPD feed; also filed as M••• L••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jan 2, 2026 · San Jose, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 6, 2009 to Mar 13, 2014 · Fremont, Ca
- I••••••••• A••••••• I••••••••• I••• unclassifiedJan 31, 2007 to Dec 2, 2008 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 13, 2014, registered Jan 2, 2026 (4313 days) · Other
- I••••••••• A••••••• I••••••••• I••• to M•• I•••••••• S•••••••• L••left Dec 2, 2008, registered Mar 6, 2009 (94 days) · Other
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address