DFX Intelligence
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Registered advisor
L•••••• G• P•••••••••
Feed of 09/22/2026
Also filed as L•••••• G••••••• P••••••••• P•••••••••
At current firm
0 y
since Sep 21, 2026
In the industry
18 y
since Apr 2, 2008 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 21, 2026 · El Segundo, Ca
- C••• F•••••••• S•••••••• L••• formerJun 6, 2024 to Aug 1, 2025 · San Diego, Ca
- C••••••••• F•••••••• N•••••• national BDOct 12, 2020 to May 31, 2022 · San Diego, Ca
- M•••••• A••••• S••••••••• L•• BD affiliatedJul 30, 2019 to Jul 21, 2020 · San Diego, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedJan 27, 2016 to Jul 26, 2019 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedDec 23, 2009 to Jan 25, 2016 · San Diego, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDAug 18, 2008 to Jul 20, 2009 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••• F•••••••• S•••••••• L••• to C••••• I••••••••• A••••••• L••left Aug 1, 2025, registered Sep 21, 2026 (416 days) · Affiliated broker-dealer or bank to another
- C••••••••• F•••••••• N•••••• to C••• F•••••••• S•••••••• L•••left May 31, 2022, registered Jun 6, 2024 (737 days) · Affiliated broker-dealer or bank to another
- M•••••• A••••• S••••••••• L•• to C••••••••• F•••••••• N••••••left Jul 21, 2020, registered Oct 12, 2020 (83 days) · Affiliated broker-dealer or bank to another
- I••••••••• F•••••••• G••••• L•• to M•••••• A••••• S••••••••• L••left Jul 26, 2019, registered Jul 30, 2019 (4 days) · RIA to RIA
- L•• F•••••••• L•• to I••••••••• F•••••••• G••••• L••left Jan 25, 2016, registered Jan 27, 2016 (2 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Jul 20, 2009, registered Dec 23, 2009 (156 days) · Other
Signals
- ••• LockedSep 21, 2026 · Advisor registered · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address