DFX Intelligence
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Registered advisor
L••• B••••• Y••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as L••• W••••••••• W• B••••••••• W••••••• B••••••••• B• Y••••••••• Y••••
At current firm
2 y
since Feb 5, 2024
In the industry
33 y
since May 27, 1993 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 5, 2024 · Tampa, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Feb 7, 2024 · Sterling, Va
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJul 16, 2007 to Jan 2, 2009 · Reston, Va
- O••••• P••••••• I••••••••• M••••••••• L•• unclassifiedNov 12, 1998 to Nov 10, 2006 · Shewsbury, Nj
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A••••••••• F•••••••• S•••••••• L••left Feb 7, 2024, registered Feb 5, 2024 (-2 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- O••••• P••••••• I••••••••• M••••••••• L•• to R•••••• J•••• F•••••••• S•••••••• I•••left Nov 10, 2006, registered Jul 16, 2007 (248 days) · Other
Signals
- ••• LockedFeb 7, 2024 · 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
- National broker-dealer RIAderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address