DFX Intelligence
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Registered advisor
R•••••• L• S••••••
Feed of 09/14/2026
Also filed as R•••••• L••• J••••••••• L••• S••••••••• S••••••
At current firm
4 y
since Aug 3, 2022
In the industry
26 y
since Jun 21, 2000 (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
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Aug 3, 2022 · Birmingham, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 10, 2008 to Aug 1, 2022 · Birmingham, Al
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Aug 1, 2022, registered Aug 3, 2022 (2 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedAug 1, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address