DFX Intelligence
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Registered advisor
L•••• A•••••••• V•• Z••••
Feed of 09/14/2026
Also filed as L•••• A•••••••• V••••••••• V•• Z••••
At current firm
5 y
since Jul 21, 2021
In the industry
30 y
since Sep 6, 1996 (earliest exam, job or registration)
Prior registered firms
5
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 Jul 21, 2021 · Berlin, Ct
- W•••••• • R••• formerSep 15, 2009 to Jul 21, 2021 · Hamden, Ct
- W•••• F•••• A••••••• wirehouseJun 6, 2007 to Jun 10, 2009 · East Hartford, Ct
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Apr 13, 2007 · Hartford, Ct
- Q•••• • R•••••• I••• unclassifiedNov 15, 2002 to Oct 20, 2004 · Hartford, Ct
- M••••• S•••••• D• I••• unclassifiedOct 12, 1999 to Nov 20, 2002 · Hartford, Ct
Moves
a registration end followed by a registration begin elsewhere
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to W•••••• • R•••left Jun 10, 2009, registered Sep 15, 2009 (97 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Apr 13, 2007, registered Jun 6, 2007 (54 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to Q•••• • R•••••• I•••left Nov 20, 2002, registered Nov 15, 2002 (-5 days) · Other
Signals
No dated event on this person.
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
- 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