DFX Intelligence
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Registered advisor
F••••••• C••••••
Feed of 09/14/2026
Also filed as F••••••• C••••••••• C••••••
At current firm
2 y
since Feb 9, 2024
In the industry
14 y
since Jul 1, 2012 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Feb 9, 2024 · Pasadena, Ca
- C•••••• S••••• • C••• I••• national BDAug 22, 2022 to Jan 10, 2024 · Long Beach, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 28, 2022 to Sep 7, 2023 · Long Beach, Ca
- T• A••••••••• I••• formerJun 28, 2022 to Oct 14, 2022 · Long Beach, Ca
- W•••• F•••• A••••••• wirehouseDec 1, 2020 to May 19, 2022 · Lakewood, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 10, 2024, registered Feb 9, 2024 (30 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Aug 22, 2022 (-381 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Jun 28, 2022 (-108 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to T• A••••••••• I•••left May 19, 2022, registered Jun 28, 2022 (40 days) · Other
Signals
- ••• LockedJan 10, 2024 · Advisor changed firm · fact
- ••• LockedMay 19, 2022 · 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address