DFX Intelligence
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Registered advisor
Q•••••• R•••••• S•••••
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseWoodland Hills, Cadual registrantIAPD 5717600
Feed of 09/14/2026
Also filed as Q•••••• S•••••
At current firm
9 y
since Jun 9, 2017
In the industry
16 y
since Nov 30, 2009 (earliest exam, job or registration)
Prior registered firms
2
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 9, 2017 · Woodland Hills, Ca
- M••••• S•••••• wirehouseJan 3, 2011 to Jun 12, 2017 · Woodland Hills, Ca
- W•••• F•••• A••••••• wirehouseDec 1, 2009 to Jan 6, 2011 · Woodland Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 12, 2017, registered Jun 9, 2017 (-3 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to M••••• S••••••left Jan 6, 2011, registered Jan 3, 2011 (-3 days) · Wirehouse to wirehouse
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
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