DFX Intelligence
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Registered advisor
L••• D••••• N•••••
Feed of 09/14/2026
At current firm
1 y
since Nov 18, 2024
In the industry
29 y
since Oct 17, 1996 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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•• E••••••••• L•• BD affiliated currentsince Nov 18, 2024 · Miami, Fl
- P•••• S••••••••• L•• no RAUMSep 14, 2020 to Nov 12, 2024 · Coral Gables, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDJun 18, 2019 to Sep 10, 2020 · Miami, Fl
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Apr 5, 2019 · Bay Shore, Ny
- C•••• I••••••••• S••••••• C•••• formerDec 7, 2009 to Oct 1, 2012 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Dec 17, 2009 · Woodside, Ny
- C••••••• I••••••••• S••••••• unclassifiedSep 27, 2006 to May 29, 2007 · Jackson Heights, Ny
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Sep 12, 2006 · Melville, Ny
- Q•••• • R•••••• I••• unclassifiedJul 8, 2004 to Oct 20, 2004 · Hauppauge, Ny
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 12, 2024, registered Nov 18, 2024 (6 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to P•••• S••••••••• L••left Sep 10, 2020, registered Sep 14, 2020 (4 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Apr 5, 2019, registered Jun 18, 2019 (74 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to C•••• I••••••••• S••••••• C••••left Dec 17, 2009, registered Dec 7, 2009 (-10 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••••••• I••••••••• S•••••••left Sep 12, 2006, registered Sep 27, 2006 (15 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
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address