DFX Intelligence
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Registered advisor
P••••••• E••••• P•••
Feed of 09/14/2026
Also filed as P••••••• P••••••••• P••••••••• E••••• P••••••••• E••••• P•••
At current firm
0 y
since Jul 14, 2026
In the industry
11 y
since Sep 1, 2015 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Jul 14, 2026 · Pasadena, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 31, 2023 to Jan 20, 2026 · Pasadena, Ca
- J••• M••••• S••••••••• L•• wirehouseNov 17, 2020 to Apr 1, 2023 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 11, 2015 to Nov 19, 2020 · El Segundo, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jan 20, 2026, registered Jul 14, 2026 (175 days) · Wirehouse to wirehouse · moved with a team
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 1, 2023, registered Mar 31, 2023 (-1 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Nov 19, 2020, registered Nov 17, 2020 (-2 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedJan 20, 2026 · Advisor changed firm · fact
- ••• LockedApr 1, 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address