DFX Intelligence
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Registered advisor
L•••• L••••• L••
Feed of 09/14/2026
Also filed as L•••• L••••• S••••••••• L••••• S••••••
At current firm
17 y
since Jun 22, 2009
In the industry
36 y
since Apr 12, 1990 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- L•• F•••••••• L•• BD affiliated currentsince Jun 22, 2009 · Albuquerque, Nm
- C••• B•••••••• S•••••••• I••• formerDec 13, 2006 to Jun 17, 2009 · Albuquerque, Nm
Moves
a registration end followed by a registration begin elsewhere
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left Jun 17, 2009, registered Jun 22, 2009 (5 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address