DFX Intelligence
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Registered advisor
R•••••• A•••• E•••••
Feed of 09/14/2026
Also filed as B•••• L••••••••• E•••••
At current firm
0 y
since Mar 17, 2026
In the industry
15 y
since Jun 10, 2011 (earliest exam, job or registration)
Prior registered firms
5
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 Mar 17, 2026 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedJan 6, 2021 to Jan 23, 2023 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedMay 31, 2018 to May 14, 2019 · Carlsbad, Ca
- I••••••••• F•••••••• P••••••• BD affiliatedNov 18, 2013 to Jun 8, 2018 · Bonsall, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 31, 2012 to Nov 19, 2013 · Bonsall, Ca
- E••••• J•••• national BDSep 26, 2011 to Jan 25, 2012 · Fallbrook, Ca
Moves
a registration end followed by a registration begin elsewhere
- I••••••••• F•••••••• P••••••• to L•• F•••••••• L••left Jun 8, 2018, registered May 31, 2018 (-8 days) · RIA to RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••••••• F•••••••• P•••••••left Nov 19, 2013, registered Nov 18, 2013 (-1 days) · Other
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 25, 2012, registered Jan 31, 2012 (6 days) · Affiliated broker-dealer or bank to wirehouse
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address