DFX Intelligence
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Registered advisor
L••••• L•••••• N•••••••
Feed of 09/14/2026
Also filed as L••••• L•••••• R••••••••• L•••••• R•••
At current firm
2 y
since Sep 29, 2023
In the industry
24 y
since Mar 18, 2002 (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
S65, 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
- R•• C•••••• M••••••• L•• national BD currentsince Sep 29, 2023 · Grain Valley, Mo
- U•• F•••••••• S••••••• I••• wirehouseJun 1, 2012 to Oct 10, 2023 · Leawood, Ks
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 10, 2012 · Kansas City, Mo
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 5, 2005 to Jun 1, 2009 · Tulsa, Ok
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Oct 10, 2023, registered Sep 29, 2023 (-11 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Feb 10, 2012, registered Jun 1, 2012 (112 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedOct 10, 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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address