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
L•••• R•••• B••••
Feed of 09/14/2026
Also filed as L•••• B••••••••• R• B••••••••• R•••• B••••••••• R•••• P••••••••• R• B••••••••• B••••
At current firm
3 y
since Mar 24, 2023
In the industry
30 y
since Aug 30, 1996 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- C•••••• S••••• • C••• I••• national BD currentsince Mar 24, 2023 · Reno, Nv
- M••••• S•••••• wirehouseNov 30, 2020 to Jan 28, 2022 · El Segundo, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 16, 2008 to Jul 27, 2009 · Spokane, Wa
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to C•••••• S••••• • C••• I•••left Jan 28, 2022, registered Mar 24, 2023 (420 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jul 27, 2009, registered Nov 30, 2020 (4144 days) · Wirehouse to wirehouse
Signals
- ••• LockedJan 28, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address