DFX 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
J••••••• L• R••••
Feed of 09/14/2026
Also filed as J••••••• L•••• W••••••••• L•••• S••••••••• L• S••••••••• L•••• S••••••••• L•••• R••••
At current firm
4 y
since Oct 18, 2021
In the industry
26 y
since Sep 27, 1999 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
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•• F•••••••• L•• BD affiliated currentsince Oct 18, 2021 · Las Vegas, Nv
- W•••• F•••• A••••••• wirehouseAug 9, 2019 to Oct 27, 2021 · Las Vegas, Nv
- M••••• S•••••• wirehouseMar 27, 2012 to Aug 12, 2019 · Las Vegas, Nv
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to L•• F•••••••• L••left Oct 27, 2021, registered Oct 18, 2021 (-9 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left Aug 12, 2019, registered Aug 9, 2019 (-3 days) · Wirehouse to wirehouse · moved with a team
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address