DFX Intelligence
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Registered advisor
S•••••• C••••
Chartered Financial Analyst
Feed of 09/14/2026
Also filed as S•••••• D••••• C••••
At current firm
2 y
since Oct 11, 2023
In the industry
12 y
since Jan 1, 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 Oct 11, 2023 · Wellesley, Ma
- J••• M••••• P•••••• W••••• A••••••• L•• formerJan 13, 2017 to Mar 19, 2025 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 5, 2015 to Jan 17, 2017 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••left Mar 19, 2025, registered Oct 11, 2023 (-525 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• P•••••• W••••• A••••••• L••left Jan 17, 2017, registered Jan 13, 2017 (-4 days) · Other · moved with a team
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, outside business text, branch street address