DFX Intelligence
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Registered advisor
A••••• S••••••
Feed of 09/14/2026
At current firm
4 y
since Jul 6, 2022
In the industry
18 y
since Dec 6, 2007 (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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 6, 2022 · El Segundo, Ca
- W•••• F•••• A••••••• wirehouseFeb 5, 2015 to Jul 12, 2022 · Santa Monica, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 7, 2013 to Feb 13, 2014 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 5, 2011 to Nov 1, 2012 · Los Angeles, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jun 21, 2011 · Los Angeles, Ca
- W•••• F•••• I••••••••• L•• unclassifiedDec 7, 2007 to Jan 3, 2011 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 12, 2022, registered Jul 6, 2022 (-6 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Feb 13, 2014, registered Feb 5, 2015 (357 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 21, 2011, registered Aug 5, 2011 (45 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
- ••• LockedJul 12, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address