DFX Intelligence
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Registered advisor
S••••• S••••
Feed of 09/14/2026
At current firm
9 y
since Jul 18, 2017
In the industry
11 y
since Nov 24, 2014 (earliest exam, job or registration)
Prior registered firms
2
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Jul 18, 2017 · Torrance, Ca
- P•••••••• S••••••••• I••• BD affiliatedMar 25, 2016 to Jul 10, 2017 · Irvine, Ca
- E••••• J•••• national BDNov 25, 2014 to Feb 4, 2015 · Artesia, Ca
Moves
a registration end followed by a registration begin elsewhere
- P•••••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Jul 10, 2017, registered Jul 18, 2017 (8 days) · Other
- E••••• J•••• to P•••••••• S••••••••• I•••left Feb 4, 2015, registered Mar 25, 2016 (415 days) · Other
Signals
No dated event on this person.
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address