DFX Intelligence
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Registered advisor
L•••• L•• E•••••••••
Feed of 09/15/2026
Also filed as L•••• L•• E••••••••• A• E••••••••• L•• E•••••••••
At current firm
4 y
since Jul 4, 2022
In the industry
41 y
since Mar 6, 1985 (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
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
- P•••• C•••••• F•••••••• mixed wealth currentsince Jul 4, 2022 · San Antonio, Tx
- C••••••••• C•••••• M••••••••• L•• formerJan 10, 2003 to Jul 1, 2022 · San Antonio, Tx
Moves
a registration end followed by a registration begin elsewhere
- C••••••••• C•••••• M••••••••• L•• to P•••• C•••••• F••••••••left Jul 1, 2022, registered Jul 4, 2022 (3 days) · RIA to RIA · moved with a team
Signals
- ••• LockedJul 1, 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address