DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Registered advisor

J•••••• L•• L••••••

C•••••• S••••• • C••• I•••national BDWestlake, Txdual registrantIAPD 1533402

Certified Financial Planner

Feed of 09/14/2026

Also filed as Jeff L••••••

At current firm

5 y

since Mar 12, 2021

In the industry

40 y

since Jul 30, 1986 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• S••••• • C••• I••• national BD current
since Mar 12, 2021 · Westlake, Tx
J••• M••••• S••••••••• L•• wirehouse
Jun 7, 2019 to Jan 28, 2021 · Dallas, Tx
T• A••••••••• I••••••••• M••••••••• L•• former
May 11, 2015 to Sep 7, 2018 · Fort Worth, Tx
T• A••••••••• I••• former
May 11, 2015 to Sep 7, 2018 · Westlake, Tx
N•• A•••••• S•••••••• L•• former
Aug 29, 2012 to Apr 30, 2015 · Grapevine, Tx
S•••••••• A••••••• L•• national BD
May 26, 1998 to Nov 7, 2005 · Westlake, Tx

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to C•••••• S••••• • C••• I•••
left Jan 28, 2021, registered Mar 12, 2021 (43 days) · Wirehouse to affiliated broker-dealer or bank
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Sep 7, 2018, registered May 11, 2015 (-1215 days) · channel change inside one enterprise, not a move · moved with a team
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Sep 7, 2018, registered May 11, 2015 (-1215 days) · Other · moved with a team
N•• A•••••• S•••••••• L•• to T• A••••••••• I•••
left Apr 30, 2015, registered May 11, 2015 (11 days) · Other
S•••••••• A••••••• L•• to N•• A•••••• S•••••••• L••
left Nov 7, 2005, registered Aug 29, 2012 (2487 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: 40derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address