DFX Intelligence

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C•••••• R•• C•••••••••

Registered advisorat J••• M••••• S••••••••• L••Dual registrant· Los Angeles, CaIAPD 5933696
At current firm
2 y
since Mar 26, 2024
In the industry
12 y
Prior registered firms
0
Signals
0
As of · the IAPD feed; also filed as C•••••• R• C••••••••• C••••••••• R•• C••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Recruiter brief
facts first, then what DFX measured about them; never a statement of intent
  • ••• Locked
Recruiting value
  • Practice attractivenesssome
    12.1 years in the industry
  • Team depthnone
    0 of the 0 people who once moved firms with this advisor are registered here now (a team seen in registrations; web team pages are not used until they pass review).
  • Entrepreneurial profilenotable
    Details are shown to subscribers.
  • Real estate activitynone
    Details are shown to subscribers.
  • Contactabilityweak
    no contact route found
Movement evidence
  • Movement signalnone
    0 of 0 dated or circumstantial readings historically went with moving. The forward-tested move model places this advisor in its Baseline band.
  • Recent change activitynone
    Details are shown to subscribers.
  • Independence preparationnone
    No concrete evidence of preparation for independence.
  • Historical mobilitynone
    1 prior firm, median stay 5.8 years.
Career
  • 12.1 years in the industry
  • 2.5 years at the current firm
  • 1 prior registered firm; median stay 5.8 years
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
  • Registered in 51 states (firm median 2)
  • Exams: SIE, Series 3, Series 55, Series 57TO, Series 63, Series 65, Series 7
  • Registered as a broker as well as an adviser
Source: IAPD individual feed and the per-person IAPD record
Around this advisor
  • No recent movement observed around this advisor.
Regulatory record

Shown to subscribers, with the official record linked.

Outside business and network
what the advisor disclosed on Form U4, and what the public record says each company is
Observed business footprint
  • 4 disclosed outside organisations
  • Owner, founder or manager of 2
  • Board, trustee or officer seat at 1
  • 1 also disclosed by other registered advisors
Why it may matter
  • notableEntrepreneurial activityOwns, founded or manages 2 business entities outside the advisory practice (self-disclosed on Form U4).
  • strongExternal business breadthOutside business spans 3 categories: healthcare, operating company, unclear.
  • someCommunity and board roles1 board, trustee or officer role in outside organisations.
  • T•• C••••••• G•••• L••Operating company
    Owner, Partner · since 2025-07-14

    Indoor play space for children ages 0-5 (the advisor's own disclosure)

    Owns or founded an operating company outside the advisory practice.

    self-disclosed on Form U4
  • P•••• S••• H•••••Healthcare
    Owner, Partner · since 2024-11-20

    Platform connecting families with mental health resources (the advisor's own disclosure)

    Owns or founded a healthcare business outside the advisory practice.

    self-disclosed on Form U4
  • Y••• o• M••••••••• L•• A••••••Nonprofit
    Director · since 2020-09-16

    Community organization in Los A•••••• for over 130 years (the advisor's own disclosure)

    Sits on the board or serves as an officer of a nonprofit.

    self-disclosed on Form U4
  • A••Type not statedactive
    Other role · since 2020-11-16

    Diverse group of leaders across critical industries (the advisor's own disclosure)

    Involved with an outside organisation.

    self-disclosed on Form U4
Registration history
IAPD current and previous registrations
    Moves
    a registration end followed by a registration begin elsewhere
    No firm change on the tape.
    Signals
    No dated event on this person.
    Transition signals

    Mobility scoring is not published yet.

    Provenance
    Source
    IAPD individual compilation feedreportedadviserinfo.sec.gov
    Firm class
    Wirehousederived
    Years in industry
    12derivedfrom the earliest dated exam, employment or registration
    Not published
    disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote