DFX Intelligence
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Registered advisor
Y•• T••• A••••• L•
Feed of 09/14/2026
Also filed as A••••• L••••••••• L••••••••• A••••• L••••••••• L••••••••• A• L•••••••• A••••• L•
At current firm
5 y
since Jul 9, 2021
In the industry
16 y
since Aug 7, 2010 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 9, 2021 · Palo Alto, Ca
- J••• M••••• S••••••••• L•• wirehouseJan 25, 2019 to Jul 21, 2021 · San Jose, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 6, 2017 to Feb 15, 2019 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 3, 2016 to Dec 4, 2017 · Palo Alto, Ca
- H••• S••••••••• •••• I••• BD affiliatedMar 6, 2014 to May 17, 2016 · Fremont, Ca
- U•• F•••••••• S••••••• I••• wirehouseAug 9, 2010 to Feb 10, 2014 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 21, 2021, registered Jul 9, 2021 (-12 days) · Wirehouse to wirehouse · moved with a team
- C•••••••• G••••• M•••••• I••• to J••• M••••• S••••••••• L••left Feb 15, 2019, registered Jan 25, 2019 (-21 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Dec 4, 2017, registered Dec 6, 2017 (2 days) · Other
- H••• S••••••••• •••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 17, 2016, registered Jun 3, 2016 (17 days) · Other
- U•• F•••••••• S••••••• I••• to H••• S••••••••• •••• I•••left Feb 10, 2014, registered Mar 6, 2014 (24 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
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address