DFX Intelligence
RIA 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
C•••• J••••• L••••
Feed of 09/15/2026
At current firm
19 y
since Mar 9, 2007
In the industry
29 y
since Sep 12, 1997 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
4
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
- W•••• F•••• A••••••• wirehouse currentsince Mar 9, 2007 · Lewes, De
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Mar 9, 2007 · Baltimore, Md
- P••••••••• E••••• G••••• L•• unclassifiedMay 16, 2001 to Jul 1, 2003 · Baltimore, Md
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Mar 9, 2007, registered Mar 9, 2007 (0 days) · channel change inside one enterprise, not a move
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address