DFX Intelligence
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Registered advisor
X•••• L••
Feed of 09/14/2026
Also filed as S••••• L••
At current firm
0 y
since Oct 27, 2025
In the industry
10 y
since Jun 1, 2016 (earliest exam, job or registration)
Prior registered firms
4
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
3
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 27, 2025 · Los Angeles, Ca
- M••••• S•••••• wirehouseFeb 10, 2025 to Oct 20, 2025 · Pasadena, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 2, 2022 to Feb 4, 2025 · Beverly Hills, Ca
- P•••• S••••••••• L•• no RAUMApr 15, 2021 to Apr 21, 2022 · Sherman Oaks, Ca
- E•••••••• A•••••••• L•• national BDJan 12, 2021 to Mar 26, 2021 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 20, 2025, registered Oct 27, 2025 (7 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Feb 4, 2025, registered Feb 10, 2025 (6 days) · Wirehouse to wirehouse
- P•••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 21, 2022, registered Jun 2, 2022 (42 days) · Affiliated broker-dealer or bank to wirehouse
- E•••••••• A•••••••• L•• to P•••• S••••••••• L••left Mar 26, 2021, registered Apr 15, 2021 (20 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedOct 20, 2025 · Advisor changed firm · fact
- ••• LockedFeb 4, 2025 · Advisor changed firm · fact
- ••• LockedApr 21, 2022 · 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
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address