DFX Intelligence
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Registered advisor
L••• M•••• T•••••••
Feed of 09/14/2026
Also filed as L••• H••••••••• M•••• H••••••••• S••••
At current firm
2 y
since Oct 31, 2023
In the industry
26 y
since Mar 13, 2000 (earliest exam, job or registration)
Prior registered firms
3
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
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Oct 31, 2023 · Lake Oswego, Or
- L•• F•••••••• L•• BD affiliatedNov 2, 2015 to Nov 2, 2023 · Lake Oswego, Or
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 3, 2011 to Jan 27, 2014 · Portland, Or
- V••• F•••••••• P•••••••• L•• formerJul 2, 2003 to Jan 3, 2011 · Portland, Or
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to K••••• A••••••• S•••••••• L••left Nov 2, 2023, registered Oct 31, 2023 (-2 days) · Affiliated broker-dealer or bank to another
- V••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left Jan 27, 2014, registered Nov 2, 2015 (644 days) · Other
- V••• F•••••••• P•••••••• L•• to V••• F•••••••• A•••••••• I•••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedNov 2, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address