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

S•• J• L••••••

L•• F•••••••• L••BD affiliatedSouthampton, Pa dual registrantIAPD 2313413

Feed of 09/14/2026

Also filed as S•• J• L••••••

At current firm

1 y

since Jan 21, 2025

In the industry

25 y

since Mar 12, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Jan 21, 2025 · State College, Pa
C••••••• S••••••••• I••• BD affiliated
Aug 30, 2022 to Jul 10, 2024 · West Palm Beach, Fl
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 22, 2021 to Jun 16, 2022 · Bridgeport, Wv

Moves

a registration end followed by a registration begin elsewhere

C••••••• S••••••••• I••• to L•• F•••••••• L••
left Jul 10, 2024, registered Jan 21, 2025 (195 days) · Affiliated broker-dealer or bank to another
C••••• I••••••••• A••••••• L•• to C••••••• S••••••••• I•••
left Jun 16, 2022, registered Aug 30, 2022 (75 days) · Affiliated broker-dealer or bank to another

Signals

S•• J• L•••••• no longer holds an investment adviser registration (last listed at L•• F•••••••• L•• on the 2026-09-14 feed)
Sep 14, 2026 · Advisor registration ended · derived
S•• J• L•••••• left C••••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2025-01-21)
Jul 10, 2024 · Advisor changed firm · fact
S•• J• L•••••• left C••••• I••••••••• A••••••• L•• for C••••••• S••••••••• I••• (registered 2022-08-30)
Jun 16, 2022 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address