DFX Intelligence
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Registered advisor
M•••• C•••••••• L•••
Feed of 09/14/2026
Also filed as F•••• B••••••••• C•••••••• F••••••••• C•••••••• G••••••••• C•••••••• G•••••••••
At current firm
12 y
since Feb 26, 2014
In the industry
17 y
since Dec 30, 2008 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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 Feb 26, 2014 · Fresno, Ca
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Dec 31, 2013 · Visalia, Ca
- A••••••••• S••••••••• C•••• unclassifiedMar 9, 2009 to Sep 8, 2009 · Visalia, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• S••••••••• C•••• to L•• F•••••••• L••left Sep 8, 2009, registered Sep 8, 2009 (0 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address