DFX Intelligence
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Registered advisor
A•• V••••
Feed of 09/14/2026
At current firm
9 y
since Jul 21, 2017
In the industry
19 y
since May 24, 2007 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Jul 21, 2017 · Torrance, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 16, 2012 to Jul 13, 2017 · West Covina, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerOct 18, 2011 to Jul 9, 2012 · Los Angeles, Ca
- L•• F•••••••• L•• BD affiliatedOct 8, 2008 to Nov 7, 2011 · Los Angeles, Ca
- W••• I••••••••• I••• unclassifiedMay 25, 2007 to Oct 16, 2008 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Jul 13, 2017, registered Jul 21, 2017 (8 days) · Wirehouse to wirehouse · moved with a team
- B••••••• I••••••••• S•••••••• I••• ••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 9, 2012, registered Aug 16, 2012 (38 days) · Other
- L•• F•••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left Nov 7, 2011, registered Oct 18, 2011 (-20 days) · Other
- W••• I••••••••• I••• to L•• F•••••••• L••left Oct 16, 2008, registered Oct 8, 2008 (-8 days) · Other
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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address