DFX Intelligence
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Registered advisor
C••••••••• L•
Feed of 09/14/2026
Also filed as C•••• Y• L•••••••• L••••••• Y•• J••••• L••••••• Y•• J••••• L••••••• Y•• L•
At current firm
3 y
since Apr 18, 2023
In the industry
10 y
since Aug 1, 2016 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 18, 2023 · Oakland, Ca
- O•••• W•••••• I••• BD affiliatedJan 26, 2023 to Feb 28, 2023 · Concord, Ca
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 28, 2023, registered Apr 18, 2023 (49 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedFeb 28, 2023 · 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