DFX Intelligence
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Registered advisor
J•••••• L• A•••••••
Feed of 09/14/2026
Also filed as J•••••• L• A••••••••• L•••• A•••••••
At current firm
15 y
since Mar 21, 2011
In the industry
30 y
since Jun 27, 1996 (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
S66, 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
- C•••••• S••••• • C••• I••• national BD currentsince Mar 21, 2011 · Naples, Fl
- M•• F•••••••• S•••••••• I••• formerNov 23, 2010 to Mar 7, 2011 · Fort Lauderdale, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 3, 2010 · Ft. Lauderdale, Fl
- M••••• S•••••• • C•• L•• unclassifiedDec 9, 2008 to Jun 1, 2009 · Ft. Lauderdale, Fl
Moves
a registration end followed by a registration begin elsewhere
- M•• F•••••••• S•••••••• I••• to C•••••• S••••• • C••• I•••left Mar 7, 2011, registered Mar 21, 2011 (14 days) · Other
- M••••• S•••••• to M•• F•••••••• S•••••••• I•••left Feb 3, 2010, registered Nov 23, 2010 (293 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- 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