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
N••••• B•••••• L•••••••••
Feed of 09/15/2026
Also filed as N••••• B•••••• Leowenstern
At current firm
1 y
since Apr 4, 2025
In the industry
47 y
since Jun 27, 1979 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Apr 4, 2025 · Houston, Tx
- B• R•••• W••••• A•••••••• I••• BD affiliatedAug 27, 2022 to Apr 7, 2025 · Houston, Tx
- B• R•••• W••••• M••••••••• formerSep 18, 2015 to Dec 31, 2022 · Houston, Tx
- H•••••• S••••••••• I••• BD affiliatedJun 24, 2009 to Oct 16, 2015 · Houston, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 1, 2009 · St. Helena, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Jun 1, 2009 · St. Helena, Ca
- L••• M•••• W••• W•••••• I••••••••• unclassifiedFeb 14, 1994 to Feb 21, 2006 · Housto, Tx
Moves
a registration end followed by a registration begin elsewhere
- B• R•••• W••••• A•••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Apr 7, 2025, registered Apr 4, 2025 (-3 days) · corporate re-registration, not a move
- B• R•••• W••••• M••••••••• to B• R•••• W••••• A•••••••• I•••left Dec 31, 2022, registered Aug 27, 2022 (-126 days) · corporate re-registration, not a move
- H•••••• S••••••••• I••• to B• R•••• W••••• M•••••••••left Oct 16, 2015, registered Sep 18, 2015 (-28 days) · Other · moved with a team
- M••••• S•••••• to H•••••• S••••••••• I•••left Jul 1, 2009, registered Jun 24, 2009 (-7 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (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
- National broker-dealer RIAderived
- Years in industry
- 47derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address