DFX 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
L•••• M•••• C•••••••
Feed of 09/15/2026
Also filed as L•••• M• O••••••••• M•••• O•••••
At current firm
3 y
since Jan 3, 2023
In the industry
39 y
since Jul 28, 1987 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
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
- M••••• S•••••• wirehouse currentsince Jan 3, 2023 · Chicago, Il
- E•••••• C•••••• M••••••••• L•• formerSep 8, 2015 to Sep 5, 2023 · Chicago, Il
- C•••••• S••••• • C••• I••• national BDJul 2, 1998 to May 12, 2015 · Naperville, Il
Moves
a registration end followed by a registration begin elsewhere
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Jan 3, 2023 (-245 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to E•••••• C•••••• M••••••••• L••left May 12, 2015, registered Sep 8, 2015 (119 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
- Wirehousederived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address