DFX Intelligence
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Registered advisor
L•••• A••• L•••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
0 y
since Oct 3, 2025
In the industry
32 y
since Aug 31, 1994 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Oct 3, 2025 · Green Bay, Wi
- L•• F•••••••• L•• BD affiliatedJul 16, 2018 to Sep 12, 2025 · Green Bay, Wi
- C••••• A•••••• N••••••• L•• formerNov 1, 2017 to Jul 17, 2018 · Green Bay, Wi
- G••••• S••••••••• I••• formerAug 9, 2017 to Nov 1, 2017 · Green Bay, Wi
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Sep 12, 2025, registered Oct 3, 2025 (21 days) · Affiliated broker-dealer or bank to another
- C••••• A•••••• N••••••• L•• to L•• F•••••••• L••left Jul 17, 2018, registered Jul 16, 2018 (-1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- G••••• S••••••••• I••• to C••••• A•••••• N••••••• L••left Nov 1, 2017, registered Nov 1, 2017 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedSep 12, 2025 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address