DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
M•••••• L••••
Feed of 09/14/2026
Also filed as M•••••• John L••••
At current firm
4 y
since May 24, 2022
In the industry
32 y
since Jun 3, 1994 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•••• W••••• M••••••••• L•• state registered currentsince May 24, 2022 · North Kingstown, Ri
- V••• I••••••••• M••••••••• C•• L•• asset managerSep 14, 2009 to Nov 10, 2010 · New York, Ny
- C••••••• S••••••••• I••• BD affiliatedApr 12, 2005 to Jun 7, 2006 · Providence, Ri
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Jan 3, 2005 · Lincoln, Ri
- Q•••• • R•••••• I••• unclassifiedAug 22, 2003 to Oct 20, 2004 · Lincoln, Ri
Moves
a registration end followed by a registration begin elsewhere
- V••• I••••••••• M••••••••• C•• L•• to L•••• W••••• M••••••••• L••left Nov 10, 2010, registered May 24, 2022 (4213 days) · Other
- C••••••• S••••••••• I••• to V••• I••••••••• M••••••••• C•• L••left Jun 7, 2006, registered Sep 14, 2009 (1195 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••••••• S••••••••• I•••left Jan 3, 2005, registered Apr 12, 2005 (99 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
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
- STATE REGISTEREDderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address