DFX Intelligence
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Feed of 09/14/2026
Also filed as J•••• L••••••• L••••••• Z•••• L•
At current firm
1 y
since Mar 31, 2025
In the industry
12 y
since Jun 1, 2014 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Tracy, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 18, 2022 to Mar 31, 2025 · Mountain View, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 9, 2022 to Jun 10, 2022 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 14, 2019 to Feb 7, 2022 · Pleasanton, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 10, 2022, registered Jul 18, 2022 (38 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 7, 2022, registered Mar 9, 2022 (30 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Signals
- ••• LockedJun 10, 2022 · Advisor changed firm · fact
- ••• LockedFeb 7, 2022 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address