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•••••• J••••• L••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as Ray L••••
At current firm
9 y
since Oct 25, 2016
In the industry
39 y
since Dec 11, 1986 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- I••••••••• W••••• C••••••• L•• independent RIA currentsince Oct 25, 2016 · Worcester, Ma
- O•••• F•• I••• formerDec 19, 2003 to Oct 11, 2016 · Worcester, Ma
- V••••••• I••••••••• A•••••••• I••• unclassifiedJan 1, 1998 to Dec 12, 2003 · Waltham, Ma
Moves
a registration end followed by a registration begin elsewhere
- O•••• F•• I••• to I••••••••• W••••• C••••••• L••left Oct 11, 2016, registered Oct 25, 2016 (14 days) · corporate re-registration, not a move
- V••••••• I••••••••• A•••••••• I••• to O•••• F•• I•••left Dec 12, 2003, registered Dec 19, 2003 (7 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
- Independent wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address