DFX Intelligence
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Registered advisor
S••••• L• S•••••
Feed of 09/14/2026
Also filed as S••••• L••• V••••••••• L••• V••••••••• L••• S•••••
At current firm
2 y
since Oct 20, 2023
In the industry
27 y
since Dec 1, 1998 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Oct 20, 2023 · Palm Beach Gardens, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 20, 2013 to Oct 24, 2023 · Stuart, Fl
- C••••• I••••••••• A••••••• L•• BD affiliatedApr 28, 2009 to May 3, 2013 · Stuart, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 1, 1998 to Jan 2, 2009 · Stuart, Fl
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••••••••• C•••••• M•••••••••left Oct 24, 2023, registered Oct 20, 2023 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C••••• I••••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 3, 2013, registered Aug 20, 2013 (109 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• I••••••••• A••••••• L••left Jan 2, 2009, registered Apr 28, 2009 (116 days) · Other
Signals
- ••• LockedOct 24, 2023 · 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address