DFX Intelligence
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Registered advisor
Y••••••• Y••••••• L•••
Feed of 09/14/2026
Also filed as Y••••••• Y• L•••
At current firm
3 y
since Sep 28, 2022
In the industry
10 y
since Nov 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
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Sep 28, 2022 · Fresno, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 25, 2016 to May 25, 2022 · Modesto, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left May 25, 2022, registered Sep 28, 2022 (126 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedMay 25, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address