DFX Intelligence
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Registered advisor
L••••• F••••••••
Feed of 09/14/2026
Also filed as L••••• M• F••••••••• F••••••••• M••••••• F••••••••
At current firm
1 y
since Mar 31, 2025
In the industry
12 y
since Jul 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
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Riverside, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 12, 2023 to Mar 31, 2025 · Riverside, Ca
- J••• M••••• S••••••••• L•• wirehouseFeb 28, 2020 to Mar 8, 2023 · Bell, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 8, 2023, registered Jul 12, 2023 (126 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Signals
- ••• LockedMar 8, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address