DFX Intelligence
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Registered advisor
C••••• L••
Feed of 09/14/2026
Also filed as S••••• L••••••••• S••••• L••••••••• L••••••••• S••••• L••••••••• L••
At current firm
2 y
since Feb 9, 2024
In the industry
10 y
since Jul 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
S66, 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 Feb 9, 2024 · Palo Alto, Ca
- W•••• F•••• A••••••• wirehouseJan 10, 2022 to Sep 1, 2022 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 1, 2022, registered Feb 9, 2024 (526 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedSep 1, 2022 · 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