DFX Intelligence
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Registered advisor
C•••••••• L••• S••••
Feed of 09/22/2026
At current firm
0 y
since Sep 21, 2026
In the industry
26 y
since Jul 28, 2000 (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, S66
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Sep 21, 2026 · Lehi, Ut
- M••••• S•••••• wirehouse currentsince May 27, 2011 · Mobile, Al
- M••••• S•••••• wirehouseMay 27, 2011 to Sep 18, 2026 · Mobile, Al
- W•••• F•••• A••••••• wirehouseMay 29, 2008 to May 2, 2011 · Pensacola, Fl
- U•• F•••••••• S••••••• I••• wirehouseMar 8, 2006 to Jun 9, 2008 · Pensacola, Fl
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to M•• I•••••••• S•••••••• L••left Sep 18, 2026, registered Sep 21, 2026 (3 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M••••• S••••••left May 2, 2011, registered May 27, 2011 (25 days) · Wirehouse to wirehouse
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Jun 9, 2008, registered May 29, 2008 (-11 days) · Wirehouse to wirehouse
Signals
- C•••••••• L••• S•••• registered again as an investment adviser representative at M•• I•••••••• S•••••••• L•• after a 3-day gap (last registration ended 2026-09-18)Sep 21, 2026 · Advisor registered · fact
- C•••••••• L••• S•••• no longer holds an investment adviser registration (last listed at M••••• S•••••• on the 2026-09-18 feed)Sep 18, 2026 · Advisor registration ended · derived
- C•••••••• L••• S•••• left M••••• S•••••• for M•• I•••••••• S•••••••• L•• (registered 2026-09-21)Sep 18, 2026 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address