DFX Intelligence
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Registered advisor
J••• S•••••
Feed of 09/15/2026
Also filed as J••• F•••• S••••••••• F•••• S••••••••• F•••• S•••••
At current firm
4 y
since Aug 25, 2022
In the industry
18 y
since Jan 11, 2008 (earliest exam, job or registration)
Prior registered firms
5
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Aug 25, 2022 · Irvine, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 10, 2018 to Aug 15, 2022 · Newport Beach, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 13, 2016 to Apr 23, 2018 · Playa Vista, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 21, 2011 to Nov 12, 2014 · Glendora, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Sep 20, 2011 · Cerritos, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJan 14, 2008 to Jan 3, 2011 · Cerritos, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Aug 15, 2022, registered Aug 25, 2022 (10 days) · Wirehouse to wirehouse · moved with a team
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 23, 2018, registered Apr 10, 2018 (-13 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Nov 12, 2014, registered Oct 13, 2016 (701 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 20, 2011, registered Oct 21, 2011 (31 days) · Wirehouse to wirehouse
- 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 15, 2022 · Advisor changed firm · fact
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address