DFX Intelligence
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Registered advisor
L••••• E••• S•••••••••
Feed of 09/14/2026
Also filed as L•• S•••••••••
At current firm
0 y
since Jan 2, 2026
In the industry
20 y
since Jun 7, 2006 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••••• A•••••••• L•• national BD currentsince Jan 2, 2026 · Cherry Hill, Nj
- P••• A••••• S••••••••• L•• BD affiliatedJun 7, 2011 to Oct 3, 2013 · Woodcliff Lake, Nj
- I••••••••• P••••••• A•••••••• L•• unclassifiedJun 7, 2006 to Dec 31, 2011 · Cherry Hill, Nj
Moves
a registration end followed by a registration begin elsewhere
- P••• A••••• S••••••••• L•• to E•••••••• A•••••••• L••left Oct 3, 2013, registered Jan 2, 2026 (4474 days) · Other
- I••••••••• P••••••• A•••••••• L•• to P••• A••••• S••••••••• L••left Dec 31, 2011, registered Jun 7, 2011 (-207 days) · Other
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address