DFX Intelligence
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Registered advisor
L•• M••• T•••
Feed of 09/15/2026
Also filed as L•• M••• T••••••• M• T•••
At current firm
1 y
since Mar 31, 2025
In the industry
24 y
since Apr 13, 2002 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Campbell, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 20, 2022 to Mar 31, 2025 · Campbell, Ca
- J••• M••••• S••••••••• L•• wirehouseMay 11, 2018 to Jun 28, 2022 · Novato, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 13, 2011 to May 16, 2018 · San Antonio, Tx
- W•••• F•••• I••••••••• L•• unclassifiedJun 10, 2008 to May 28, 2010 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 28, 2022, registered Sep 20, 2022 (84 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left May 16, 2018, registered May 11, 2018 (-5 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• I••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 28, 2010, registered Sep 13, 2011 (473 days) · Other
Signals
- ••• LockedJun 28, 2022 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address