DFX Intelligence
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Registered advisor
R••• S• B••••
Feed of 09/14/2026
Also filed as R••• A••• H••••••••• S•••••• B••••••••• B••••
At current firm
1 y
since Jul 22, 2025
In the industry
19 y
since Jul 1, 2007 (earliest exam, job or registration)
Prior registered firms
1
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
- L•• F•••••••• L•• BD affiliated currentsince Jul 22, 2025 · Santa Ana, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 1, 2019 to Jun 24, 2025 · Brea, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Jun 24, 2025, registered Jul 22, 2025 (28 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Signals
- ••• LockedJun 24, 2025 · 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address