DFX Intelligence
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Registered advisor
L••• R••••• A••••
Feed of 09/14/2026
At current firm
8 y
since Oct 18, 2017
In the industry
11 y
since Jul 1, 2015 (earliest exam, job or registration)
Prior registered firms
1
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
- M••••• S•••••• wirehouse currentsince Oct 18, 2017 · San Francisco, Ca
- U•• F•••••••• S••••••• I••• wirehouseOct 5, 2015 to Oct 20, 2017 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Oct 20, 2017, registered Oct 18, 2017 (-2 days) · Wirehouse to wirehouse · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address