DFX Intelligence
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Registered advisor
S•••• L• G•••••••••
Feed of 09/14/2026
Also filed as S•••• L• G••••••••• L•• G•••••••••
At current firm
11 y
since Oct 3, 2014
In the industry
31 y
since Aug 1, 1995 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
17
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
- P••• A••••• S••••••••• L•• BD affiliated currentsince Oct 3, 2014 · Columbus, Oh
- L•• F•••••••• L•• BD affiliatedJun 21, 2004 to Oct 17, 2014 · Westerville, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 23, 2001 to Jun 21, 2004 · Toledo, Oh
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to P••• A••••• S••••••••• L••left Oct 17, 2014, registered Oct 3, 2014 (-14 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Jun 21, 2004, registered Jun 21, 2004 (0 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address