DFX Intelligence
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Registered advisor
E••• O•••••••••
Feed of 09/15/2026
Also filed as E••• O•••••••••
At current firm
4 y
since May 12, 2022
In the industry
14 y
since Dec 29, 2011 (earliest exam, job or registration)
Prior registered firms
6
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
- W•••• F•••• A••••••• wirehouse currentsince May 12, 2022 · Canyon Country, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 22, 2021 to May 18, 2022 · Studio City, Ca
- J••• M••••• S••••••••• L•• wirehouseMar 3, 2021 to Dec 2, 2021 · Northridge, Ca
- W•••• F•••• A••••••• wirehouseOct 5, 2017 to Feb 16, 2021 · Pasadena, Ca
- S•••••••• I••••••••• M••••••••• formerJan 24, 2017 to Oct 11, 2017 · Saint Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 21, 2012 to Dec 21, 2015 · Pasadena, Ca
- M••••• S•••••• wirehouseJan 3, 2012 to Sep 5, 2012 · Woodland Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left May 18, 2022, registered May 12, 2022 (-6 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••left Dec 2, 2021, registered Dec 22, 2021 (20 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Feb 16, 2021, registered Mar 3, 2021 (15 days) · Wirehouse to wirehouse
- S•••••••• I••••••••• M••••••••• to W•••• F•••• A•••••••left Oct 11, 2017, registered Oct 5, 2017 (-6 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• I••••••••• M•••••••••left Dec 21, 2015, registered Jan 24, 2017 (400 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 5, 2012, registered Sep 21, 2012 (16 days) · Wirehouse to wirehouse
Signals
- ••• LockedMay 18, 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
- Wirehousederived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address