DFX Intelligence
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Registered advisor
Y•••••• F•••••
Feed of 09/14/2026
At current firm
0 y
since Nov 3, 2025
In the industry
23 y
since Feb 1, 2003 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Nov 3, 2025 · Port Hueneme, Ca
- E••••• J•••• national BDDec 22, 2022 to Sep 29, 2025 · Tempe, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 9, 2022 to Dec 8, 2022 · Gilbert, Az
- W•••• F•••• A••••••• wirehouseApr 2, 2020 to Mar 15, 2022 · Tempe, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 29, 2018 to Sep 23, 2019 · Ogden, Ut
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to L•• F•••••••• L••left Sep 29, 2025, registered Nov 3, 2025 (35 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Dec 8, 2022, registered Dec 22, 2022 (14 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 15, 2022, registered May 9, 2022 (55 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Sep 23, 2019, registered Apr 2, 2020 (192 days) · Wirehouse to wirehouse
Signals
- ••• LockedSep 29, 2025 · Advisor changed firm · fact
- ••• LockedDec 8, 2022 · Advisor changed firm · fact
- ••• LockedMar 15, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address