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
L••••••• F•••••• B•••••
Feed of 09/14/2026
Also filed as S•• B•••••
At current firm
5 y
since Feb 17, 2021
In the industry
28 y
since Oct 3, 1997 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
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
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Feb 17, 2021 · Lexington, Ky
- B••• S••••••••• L•• formerOct 17, 2014 to Feb 17, 2021 · Lexington, Ky
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 15, 2007 to Oct 20, 2014 · Lexington, Ky
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedApr 7, 2006 to Jun 19, 2007 · Bowling Green, Ky
- U•• F•••••••• S••••••• I••• wirehouseApr 30, 2001 to Oct 1, 2002 · Bowling Green, Ky
Moves
a registration end followed by a registration begin elsewhere
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• S••••••••• L••left Oct 20, 2014, registered Oct 17, 2014 (-3 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 19, 2007, registered Jun 15, 2007 (-4 days) · Other
- U•• F•••••••• S••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Oct 1, 2002, registered Apr 7, 2006 (1284 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address