DFX Intelligence
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Registered advisor
D••••• L• L•••
Feed of 09/14/2026
Also filed as D••••• L•• L•••
At current firm
1 y
since Jun 13, 2025
In the industry
32 y
since Jan 20, 1994 (earliest exam, job or registration)
Prior registered firms
1
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Jun 13, 2025 · Los Angeles, Ca
- A••••••••• L••• otherJul 8, 1997 to Oct 27, 2005 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• L••• to W•••• F•••• A•••••••left Oct 27, 2005, registered Jun 13, 2025 (7169 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
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address