DFX Intelligence
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Registered advisor
J•••••• S••••• L••••
Feed of 09/14/2026
Also filed as J••• L••••
At current firm
6 y
since Oct 4, 2019
In the industry
37 y
since Apr 28, 1989 (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
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Oct 4, 2019 · Plantation, Fl
- F•• S••••••••• C••••••••• formerFeb 12, 2004 to Oct 10, 2019 · Sunrise, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 13, 1990 to Jan 28, 2004 · Plantation, Fl
Moves
a registration end followed by a registration begin elsewhere
- F•• S••••••••• C••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 10, 2019, registered Oct 4, 2019 (-6 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•• S••••••••• C•••••••••left Jan 28, 2004, registered Feb 12, 2004 (15 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address