DFX Intelligence
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Registered advisor
Y••• L•
Feed of 09/15/2026
At current firm
2 y
since Oct 13, 2023
In the industry
13 y
since Jul 26, 2013 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Oct 13, 2023 · New York, Ny
- C••••• I••••••••• A••••••• L•• BD affiliatedJul 9, 2020 to Sep 15, 2023 · San Gabriel, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedOct 24, 2018 to Feb 14, 2020 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 17, 2014 to Jul 28, 2016 · Morristown, Nj
- H••• S••••••••• •••• I••• BD affiliatedJan 2, 2014 to Oct 27, 2014 · New York, Ny
- M••••• S•••••• wirehouseAug 2, 2013 to Dec 10, 2013 · Red Bank, Nj
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to C•••••••• G••••• M•••••• I•••left Sep 15, 2023, registered Oct 13, 2023 (28 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• I••••••••• A••••••• L••left Jul 28, 2016, registered Oct 24, 2018 (818 days) · Wirehouse to affiliated broker-dealer or bank
- H••• S••••••••• •••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 27, 2014, registered Nov 17, 2014 (21 days) · Other
- M••••• S•••••• to H••• S••••••••• •••• I•••left Dec 10, 2013, registered Jan 2, 2014 (23 days) · Other
Signals
- ••• LockedSep 15, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address