DFX Intelligence
RIA Intelligence
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Registered advisor
S••••• Z••••••••
Feed of 09/15/2026
At current firm
1 y
since May 15, 2025
In the industry
10 y
since Jun 1, 2016 (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
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Burbank, Ca
- C••• F•••••••• S•••••••• L••• formerSep 28, 2023 to May 15, 2025 · Poulsbo, Wa
- J••• M••••• S••••••••• L•• wirehouseOct 22, 2021 to Aug 10, 2023 · Pasadena, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 15, 2018 to Oct 28, 2021 · Pasadena, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to C••• F•••••••• S•••••••• L•••left Aug 10, 2023, registered Sep 28, 2023 (49 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Oct 28, 2021, registered Oct 22, 2021 (-6 days) · Wirehouse to wirehouse · moved with a team
Signals
- S••••• Z•••••••• left J••• M••••• S••••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-09-28)Aug 10, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address