DFX Intelligence
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Registered advisor
C•••• B•••••••
Feed of 09/14/2026
Also filed as C•••• B••••••••• B••••••••• H•••• B•••••••
At current firm
2 y
since Apr 2, 2024
In the industry
18 y
since Sep 1, 2008 (earliest exam, job or registration)
Prior registered firms
3
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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Apr 2, 2024 · Webster, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 11, 2020 to Mar 28, 2024 · Los Angeles, Ca
- J••• M••••• S••••••••• L•• wirehouseJun 25, 2019 to Jul 29, 2020 · Cupertino, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMApr 25, 2019 to Jun 5, 2019 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• I••••••••• A••••••• L••left Mar 28, 2024, registered Apr 2, 2024 (5 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 29, 2020, registered Aug 11, 2020 (13 days) · Wirehouse to wirehouse
- N••••••••• M••••• I••••••••• S••••••••• to J••• M••••• S••••••••• L••left Jun 5, 2019, registered Jun 25, 2019 (20 days) · Other
Signals
- ••• LockedMar 28, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address