DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
S••• L••••
Feed of 09/14/2026
At current firm
16 y
since Feb 25, 2010
In the industry
28 y
since Jun 10, 1998 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
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•••• A•••• M••••••••• I••• state registered currentsince Feb 25, 2010 · Fort Myers, Fl
- D••• M•••• M••••••••• I•• unclassifiedJun 10, 1998 to May 11, 2006 · Williamstown, Ma
Moves
a registration end followed by a registration begin elsewhere
- D••• M•••• M••••••••• I•• to L•••• A•••• M••••••••• I•••left May 11, 2006, registered Feb 25, 2010 (1386 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
- STATE REGISTEREDderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address