DFX Intelligence
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Registered advisor
N•••••• L•••••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as N••• L••••••••• M•••••• L••••••••• L•••••••
At current firm
4 y
since Jul 7, 2022
In the industry
28 y
since Jul 28, 1998 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Jul 7, 2022 · Deer Park, Il
- P•••• S••••••••• L•• no RAUMJul 6, 2020 to Jun 7, 2022 · Rosemont, Il
- O•••• F•• I••• formerApr 8, 2003 to Jun 14, 2005 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••left Jun 7, 2022, registered Jul 7, 2022 (30 days) · Affiliated broker-dealer or bank to another
- O•••• F•• I••• to P•••• S••••••••• L••left Jun 14, 2005, registered Jul 6, 2020 (5501 days) · Other
Signals
- ••• LockedJun 7, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
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