DFX Intelligence
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Registered advisor
M•••••• L•••• H•••••
Feed of 09/14/2026
At current firm
11 y
since Feb 18, 2015
In the industry
34 y
since Feb 10, 1992 (earliest exam, job or registration)
Prior registered firms
2
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- J• W• C••• A•••••••• I••• BD affiliated currentsince Feb 18, 2015 · Tampa, Fl
- J• W• C••• A•••••••• I••• BD affiliatedMay 10, 2013 to Dec 9, 2013 · Tampa, Fl
- F•••••••• A••••••• O• A••••••• L•• formerJun 25, 2008 to May 10, 2013 · Carlsbad, Ca
Moves
a registration end followed by a registration begin elsewhere
- F•••••••• A••••••• O• A••••••• L•• to J• W• C••• A•••••••• I•••left May 10, 2013, registered May 10, 2013 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address