DFX Intelligence
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Registered advisor
T•••••• A• S••••
Feed of 09/14/2026
Also filed as T•••••• S••••••••• A•••• S••••
At current firm
1 y
since May 9, 2025
In the industry
17 y
since Oct 15, 2008 (earliest exam, job or registration)
Prior registered firms
6
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
2
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince May 9, 2025 · El Segundo, Ca
- W•••• F•••• A••••••• wirehouseJun 16, 2022 to Apr 29, 2025 · Torrance, Ca
- J••• M••••• S••••••••• L•• wirehouseMar 8, 2019 to Jun 8, 2022 · Torrance, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 13, 2015 to Mar 6, 2019 · Los Angeles, Ca
- W•••• F•••• A••••••• wirehouseFeb 16, 2012 to Mar 5, 2014 · Beverly Hills, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJun 22, 2009 to Jun 2, 2010 · Inglewood, Ca
- E••••• J•••• national BDOct 20, 2008 to Mar 9, 2009 · Compton, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Apr 29, 2025, registered May 9, 2025 (10 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jun 8, 2022, registered Jun 16, 2022 (8 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Mar 6, 2019, registered Mar 8, 2019 (2 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 5, 2014, registered Oct 13, 2015 (587 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jun 2, 2010, registered Feb 16, 2012 (624 days) · Other
- E••••• J•••• to W•••• F•••• I••••••••• L••left Mar 9, 2009, registered Jun 22, 2009 (105 days) · Other
Signals
- ••• LockedApr 29, 2025 · Advisor changed firm · fact
- ••• LockedJun 8, 2022 · Advisor changed firm · 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address