DFX Intelligence
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Registered advisor
F•••• S•••••• M•••••••
Feed of 09/14/2026
Also filed as F•••••• S•••••• M••••••••• S•••••• M••••••••• S•••••• M••••••••• S• M••••••••• S•••••• M••••••••• S•••••• M••••••••• S•••••• M••••••••• S•••••• M••••••••• M••••••••• S•••••• M•••••••
At current firm
0 y
since Feb 13, 2026
In the industry
15 y
since Jun 1, 2011 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · Lake Forest, Ca
- U••• B•••••• I••••••••• I••• formerAug 10, 2023 to Feb 13, 2026 · Irvine, Ca
- W•••• F•••• A••••••• wirehouseMay 4, 2021 to Aug 10, 2023 · Laguna Niguel, Ca
- P•••• S••••••••• L•• no RAUMSep 15, 2020 to Apr 16, 2021 · Irvine, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJan 31, 2020 to Aug 6, 2020 · Irvine, Ca
- P••• A••••• S••••••••• L•• BD affiliatedJan 24, 2019 to Dec 16, 2019 · Irvine, Ca
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••left Aug 10, 2023, registered Aug 10, 2023 (0 days) · Wirehouse to affiliated broker-dealer or bank
- P•••• S••••••••• L•• to W•••• F•••• A•••••••left Apr 16, 2021, registered May 4, 2021 (18 days) · Affiliated broker-dealer or bank to wirehouse
- N••••••••• M••••• I••••••••• S••••••••• to P•••• S••••••••• L••left Aug 6, 2020, registered Sep 15, 2020 (40 days) · Other
- P••• A••••• S••••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Dec 16, 2019, registered Jan 31, 2020 (46 days) · Other
Signals
- ••• LockedAug 10, 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address