DFX Intelligence
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Registered advisor
P••••• G•••••
Feed of 09/14/2026
At current firm
0 y
since Apr 24, 2026
In the industry
12 y
since Jul 1, 2014 (earliest exam, job or registration)
Prior registered firms
2
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
2
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Apr 24, 2026 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 13, 2023 to Dec 9, 2024 · Beverly Hills, Ca
- W•••• F•••• A••••••• wirehouseFeb 11, 2022 to Jun 13, 2023 · Beverly Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••left Dec 9, 2024, registered Apr 24, 2026 (501 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 13, 2023, registered Jun 13, 2023 (0 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedDec 9, 2024 · Advisor changed firm · fact
- ••• LockedJun 13, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address