DFX Intelligence
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Registered advisor
E•••••• L••• O•••• F•••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as E•••••• O••••••••• L••• O••••••••• L• O••••••••• L••• O••••••••• L••• O•••• F••••••••• O•••••••••
At current firm
4 y
since Sep 9, 2022
In the industry
15 y
since Jun 13, 2011 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Sep 9, 2022 · Fountain Valley, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 20, 2016 to Sep 1, 2022 · Cerritos, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 13, 2012 to Oct 17, 2016 · San Pedro, Ca
- M•• F•••••••• S•••••••• I••• formerSep 12, 2011 to Mar 6, 2012 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••left Sep 1, 2022, registered Sep 9, 2022 (8 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Oct 17, 2016, registered Oct 20, 2016 (3 days) · Wirehouse to wirehouse · moved with a team
- M•• F•••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 6, 2012, registered Mar 13, 2012 (7 days) · Other
Signals
- ••• LockedSep 1, 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
- 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