DFX Intelligence
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Registered advisor
A••••• A• C••••••
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseMarina Del Rey, Ca dual registrantIAPD 5377526
Feed of 09/14/2026
Also filed as A••••• C••••••
At current firm
10 y
since Jun 15, 2016
In the industry
17 y
since Aug 3, 2009 (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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 15, 2016 · Venice, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 7, 2014 to Apr 29, 2016 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 18, 2011 to Jul 23, 2014 · Pasadena, Ca
- C•••• I••••••••• S••••••• C•••• formerJan 6, 2010 to Jan 3, 2011 · Carson, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 27, 2009 to Dec 19, 2009 · Orinda, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 29, 2016, registered Jun 15, 2016 (47 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Jul 23, 2014, registered Aug 7, 2014 (15 days) · Other
- C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 3, 2011, registered Jan 18, 2011 (15 days) · Other
- C•••••••• G••••• M•••••• I••• to C•••• I••••••••• S••••••• C••••left Dec 19, 2009, registered Jan 6, 2010 (18 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address