DFX Intelligence
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Registered advisor
S•••• L•
Feed of 09/14/2026
At current firm
9 y
since Sep 11, 2017
In the industry
15 y
since Feb 1, 2011 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Sep 11, 2017 · Pasadena, Ca
- J••• M••••• S••••••••• L•• wirehouseFeb 28, 2017 to Aug 30, 2017 · Alhambra, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to A••••• A•• P••••••• S•••••••left Aug 30, 2017, registered Sep 11, 2017 (12 days) · Other
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
- 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