DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
R•••• L••••• A••••••
Feed of 09/14/2026
Also filed as R•••• L Jr A••••••
At current firm
11 y
since Jul 7, 2015
In the industry
43 y
since Sep 8, 1983 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jul 7, 2015 · Chattanooga, Tn
- S••••• A••• A•••• M••••••••• I••• formerMay 22, 2009 to Jul 7, 2015 · Birmingham, Al
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 12, 2004 to May 28, 2009 · Chattanooga, Tn
Moves
a registration end followed by a registration begin elsewhere
- S••••• A••• A•••• M••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Jul 7, 2015, registered Jul 7, 2015 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to S••••• A••• A•••• M••••••••• I•••left May 28, 2009, registered May 22, 2009 (-6 days) · Other
Signals
No dated event on this person.
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
- National broker-dealer RIAderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address