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••••• L• B••••••••

E••••• J••••national BDNokomis, Fldual registrantIAPD 2391480

Certified Financial Planner

Feed of 09/14/2026

Also filed as S••••• Lynn B••••••••

At current firm

8 y

since Jan 8, 2018

In the industry

32 y

since Oct 18, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E••••• J•••• national BD current
since Jan 8, 2018 · Nokomis, Fl
N••••• C•••••• M••••••••• C••• independent RIA
May 12, 2017 to Sep 18, 2017 · Sarasota, Fl
A••••• A•• P••••••• S••••••• BD affiliated
Jan 31, 2014 to Jul 26, 2016 · Tampa, Fl
S•••••••• A••••••• L•• national BD
Aug 5, 2011 to Jan 15, 2014 · Sarasota, Fl
F•••• T•••• S••••••••• I••• BD affiliated
Jul 30, 2010 to Sep 17, 2010 · Sarasota, Fl
C•••••• S••••• • C••• I••• national BD
May 25, 2004 to Dec 24, 2008 · Sarasota, Fl

Moves

a registration end followed by a registration begin elsewhere

N••••• C•••••• M••••••••• C••• to E••••• J••••
left Sep 18, 2017, registered Jan 8, 2018 (112 days) · Other
A••••• A•• P••••••• S••••••• to N••••• C•••••• M••••••••• C•••
left Jul 26, 2016, registered May 12, 2017 (290 days) · Other
S•••••••• A••••••• L•• to A••••• A•• P••••••• S•••••••
left Jan 15, 2014, registered Jan 31, 2014 (16 days) · Other
F•••• T•••• S••••••••• I••• to S•••••••• A••••••• L••
left Sep 17, 2010, registered Aug 5, 2011 (322 days) · Other
C•••••• S••••• • C••• I••• to F•••• T•••• S••••••••• I•••
left Dec 24, 2008, registered Jul 30, 2010 (583 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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address