DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

J•••• S••• L••••••

S•••••• N••••••• • C••••••• I•••••••••national BDSarasota, Fldual registrantIAPD 2308025

Feed of 09/14/2026

Also filed as J•••• S L••••••

At current firm

9 y

since Nov 14, 2016

In the industry

33 y

since Feb 19, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••• N••••••• • C••••••• I••••••••• national BD current
since Nov 14, 2016 · Sarasota, Fl
J••••• M••••••••• S•••• L•• BD affiliated
Oct 19, 2012 to Dec 9, 2016 · Sarasota, Fl
O••••••••• • C•• I••• BD affiliated
Mar 20, 2009 to Nov 13, 2012 · Tampa, Fl
S••••••• G•••• C•••••• unclassified
Aug 20, 2004 to Mar 16, 2009 · Longboat Key, Fl
U•• F•••••••• S••••••• I••• wirehouse
Oct 20, 2000 to Sep 13, 2004 · Sarasota, Fl

Moves

a registration end followed by a registration begin elsewhere

J••••• M••••••••• S•••• L•• to S•••••• N••••••• • C••••••• I•••••••••
left Dec 9, 2016, registered Nov 14, 2016 (-25 days) · Other
O••••••••• • C•• I••• to J••••• M••••••••• S•••• L••
left Nov 13, 2012, registered Oct 19, 2012 (-25 days) · Other
S••••••• G•••• C•••••• to O••••••••• • C•• I•••
left Mar 16, 2009, registered Mar 20, 2009 (4 days) · Other
U•• F•••••••• S••••••• I••• to S••••••• G•••• C••••••
left Sep 13, 2004, registered Aug 20, 2004 (-24 days) · Other

Signals

No dated event on this person.

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