DFX Intelligence
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Registered advisor
M•••••• I• L•••••
Feed of 09/15/2026
Also filed as M•••••• I•• L••••••••• I•• L••••••••• L•••••
At current firm
3 y
since Oct 18, 2022
In the industry
34 y
since Jan 14, 1992 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- I••••••••• F•••••••• P••••••• BD affiliated currentsince Oct 18, 2022 · Chagrin Falls, Oh
- K•• I••••••••• S••••••• L•• BD affiliatedApr 12, 2012 to Oct 25, 2022 · Cleveland, Oh
- U•• F•••••••• S••••••• I••• wirehouseOct 15, 2010 to Mar 29, 2012 · Pepper Pike, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 27, 2008 to Apr 14, 2010 · Chagrin Falls, Oh
Moves
a registration end followed by a registration begin elsewhere
- K•• I••••••••• S••••••• L•• to I••••••••• F•••••••• P•••••••left Oct 25, 2022, registered Oct 18, 2022 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- U•• F•••••••• S••••••• I••• to K•• I••••••••• S••••••• L••left Mar 29, 2012, registered Apr 12, 2012 (14 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Apr 14, 2010, registered Oct 15, 2010 (184 days) · Wirehouse to wirehouse
Signals
- M•••••• I• L••••• left K•• I••••••••• S••••••• L•• for I••••••••• F•••••••• P••••••• (registered 2022-10-18)Oct 25, 2022 · Advisor changed firm · fact
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address