DFX Intelligence
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Registered advisor
A••••• L••••• B•••
Feed of 09/14/2026
Also filed as A••••• L• B•••
At current firm
3 y
since Sep 1, 2023
In the industry
30 y
since Aug 22, 1996 (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
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Brewer, Me
- S•••••••• F••••••••• I••• formerOct 23, 2017 to Sep 1, 2023 · Brewer, Me
- L•• F•••••••• L•• BD affiliatedSep 27, 2011 to Oct 12, 2017 · Ellsworth, Me
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to S•••••••• F••••••••• I•••left Oct 12, 2017, registered Oct 23, 2017 (11 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address