DFX Intelligence
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Feed of 09/14/2026
Also filed as D••••• R• L••••••••• L••••••••• R•••••• L•••
At current firm
2 y
since Apr 12, 2024
In the industry
16 y
since Jan 1, 2010 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- F••••• I••••••••• independent RIA currentsince Apr 12, 2024 · Plano, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 30, 2019 to Apr 5, 2024 · Camarillo, Ca
- J••• M••••• S••••••••• L•• wirehouseAug 14, 2018 to Oct 16, 2019 · Ventura, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 10, 2017 to Jun 6, 2018 · Oxnard, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to F••••• I•••••••••left Apr 5, 2024, registered Apr 12, 2024 (7 days) · Affiliated broker-dealer or bank to independent RIA
- J••• M••••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••left Oct 16, 2019, registered Oct 30, 2019 (14 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Jun 6, 2018, registered Aug 14, 2018 (69 days) · Wirehouse to wirehouse · moved with a team
Signals
- D••••• L••• left C•••••••• G••••• M•••••• I••• for F••••• I••••••••• (registered 2024-04-12)Apr 5, 2024 · 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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address