DFX Intelligence
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Feed of 09/14/2026
Also filed as G•••••• G••••••••• A•••••• G••
At current firm
1 y
since May 15, 2025
In the industry
18 y
since Aug 14, 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
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · San Diego, Ca
- C••• F•••••••• S•••••••• L••• formerDec 8, 2021 to May 15, 2025 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedMar 17, 2021 to Dec 21, 2021 · San Diego, Ca
- U••• B•••••• I••••••••• I••• formerJun 19, 2017 to Mar 9, 2021 · Irvine, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 19, 2016 to Jun 20, 2017 · Bonita, Ca
- U••• B•••••• I••••••••• I••• formerMay 24, 2010 to Mar 22, 2016 · San Diego, Ca
- E••••• J•••• national BDAug 18, 2008 to Feb 20, 2009 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••left Dec 21, 2021, registered Dec 8, 2021 (-13 days) · Affiliated broker-dealer or bank to another
- U••• B•••••• I••••••••• I••• to L•• F•••••••• L••left Mar 9, 2021, registered Mar 17, 2021 (8 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• I••••••••• I•••left Jun 20, 2017, registered Jun 19, 2017 (-1 days) · Other
- U••• B•••••• I••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 22, 2016, registered Apr 19, 2016 (28 days) · Other
- E••••• J•••• to U••• B•••••• I••••••••• I•••left Feb 20, 2009, registered May 24, 2010 (458 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address