DFX Intelligence
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Registered advisor
J•••••• L••• B••••••••
Feed of 09/14/2026
Also filed as J• L••• B••••••••• B••••••••• L••• B••••••••• L• B••••••••
At current firm
0 y
since Feb 13, 2026
In the industry
29 y
since Nov 7, 1996 (earliest exam, job or registration)
Prior registered firms
3
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
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · Martin, Ky
- U••• B•••••• I••••••••• I••• formerApr 25, 2014 to Feb 13, 2026 · Pikeville, Ky
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 29, 2008 to Apr 29, 2014 · Pikeville, Ky
- S•••••• N••••••• • C••••••• I••••••••• national BDFeb 21, 2006 to Sep 2, 2008 · Pikeville, Ky
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• I••••••••• I•••left Apr 29, 2014, registered Apr 25, 2014 (-4 days) · Other
- S•••••• N••••••• • C••••••• I••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 2, 2008, registered Aug 29, 2008 (-4 days) · Affiliated broker-dealer or bank to wirehouse
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address