DFX Intelligence
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Registered advisor
N•••••• I•••••• I•••••
Feed of 09/18/2026
Also filed as N•••••• I•••••• I••••••••• I•••••
At current firm
4 y
since Sep 21, 2022
In the industry
10 y
since Jan 1, 2016 (earliest exam, job or registration)
Prior registered firms
2
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Sep 21, 2022 · El Segundo, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 29, 2017 to Oct 3, 2022 · Redondo Beach, Ca
- M••••• S•••••• wirehouseJun 16, 2016 to Mar 28, 2017 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Oct 3, 2022, registered Sep 21, 2022 (-12 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 28, 2017, registered Mar 29, 2017 (1 day) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedOct 3, 2022 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address