DFX Intelligence
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Registered advisor
C••••••••• E••• C•••••
Feed of 09/14/2026
At current firm
4 y
since Apr 4, 2022
In the industry
11 y
since Aug 1, 2015 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- B••••• L••••• L•• state registered currentsince Apr 4, 2022 · Chino Hills, Ca
- R•••••• J•••• • A••••••••• I••• national BDJan 6, 2020 to Sep 29, 2020 · Pasadena, Ca
- M••••• S•••••• wirehouseApr 30, 2018 to Dec 16, 2019 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to B••••• L••••• L••left Sep 29, 2020, registered Apr 4, 2022 (552 days) · Affiliated broker-dealer or bank to a state-registered adviser
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Dec 16, 2019, registered Jan 6, 2020 (21 days) · Wirehouse to affiliated broker-dealer or bank
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- STATE REGISTEREDderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address