DFX Intelligence
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Feed of 09/14/2026
Also filed as R•• D••• M•••
At current firm
16 y
since May 26, 2010
In the industry
19 y
since Jun 21, 2007 (earliest exam, job or registration)
Prior registered firms
2
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
- L•• F•••••••• L•• BD affiliated currentsince May 26, 2010 · Oxnard, Ca
- S•••••• N••••••• • C••••••• I••••••••• national BDApr 30, 2009 to Apr 30, 2010 · Oxnard, Ca
- U•• F•••••••• S••••••• I••• wirehouseJun 22, 2007 to May 13, 2009 · Beverly Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to L•• F•••••••• L••left Apr 30, 2010, registered May 26, 2010 (26 days) · Other
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left May 13, 2009, registered Apr 30, 2009 (-13 days) · Wirehouse to affiliated broker-dealer or bank
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