DFX Intelligence
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Registered advisor
J••••• F••••••• L•••
Feed of 09/15/2026
Also filed as J••• L••••••••• F• L••••••••• F• L•••••••• L•••
At current firm
5 y
since Mar 1, 2021
In the industry
36 y
since Sep 28, 1989 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
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
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Mar 1, 2021 · New York, Ny
- B••••••• C•••••• I••• formerJan 21, 2009 to Mar 29, 2012 · New York, Ny
- L••••• B••••••• I••• unclassifiedFeb 14, 2008 to Oct 15, 2008 · New York, Ny
- R•••••••• S•••••••• I••• unclassifiedJan 20, 2000 to Aug 20, 2002 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- B••••••• C•••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Mar 29, 2012, registered Mar 1, 2021 (3259 days) · Other
- L••••• B••••••• I••• to B••••••• C•••••• I•••left Oct 15, 2008, registered Jan 21, 2009 (98 days) · corporate re-registration, not a move
- R•••••••• S•••••••• I••• to L••••• B••••••• I•••left Aug 20, 2002, registered Feb 14, 2008 (2004 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
- National broker-dealer RIAderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address