DFX Intelligence
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Registered advisor
E••••• L••
Feed of 09/15/2026
Also filed as E••••• B••• L••••••••• B••• L••
At current firm
1 y
since Aug 27, 2025
In the industry
21 y
since Jul 1, 2005 (earliest exam, job or registration)
Prior registered firms
4
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
2
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Aug 27, 2025 · San Jose, Ca
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Aug 14, 2025 · Boston, Ma
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 29, 2022 to Mar 31, 2025 · Dublin, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jan 19, 2022 · Milpitas, Ca
- W•••• F•••• I••••••••• L•• unclassifiedOct 13, 2006 to Jan 3, 2011 · Union City, Ca
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to W•••• F•••• A•••••••left Aug 14, 2025, registered Aug 27, 2025 (13 days) · Affiliated broker-dealer or bank to wirehouse
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 19, 2022, registered Mar 29, 2022 (69 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedAug 14, 2025 · Advisor changed firm · fact
- ••• LockedJan 19, 2022 · 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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address