DFX Intelligence
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Registered advisor
L••••••• W•••••• B•••••
Feed of 09/15/2026
Also filed as L••••••• B•••••
At current firm
5 y
since Oct 9, 2020
In the industry
46 y
since Apr 14, 1980 (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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 9, 2020 · Florham Park, Nj
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Oct 19, 2020 · Short Hills, Nj
- P••••••••• E••••• G••••• L•• unclassifiedJan 4, 1998 to Jul 1, 2003 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Oct 19, 2020, registered Oct 9, 2020 (-10 days) · Wirehouse to affiliated broker-dealer or bank
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address