DFX Intelligence
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Registered advisor
R••• L•• J•••••••
Feed of 09/14/2026
Also filed as R••• L•• N••••••••• L• J••••••••• J•••••••
At current firm
0 y
since Oct 3, 2025
In the industry
19 y
since Dec 6, 2006 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Oct 3, 2025 · Weston, Fl
- J••• M••••• S••••••••• L•• wirehouseNov 1, 2022 to Jan 17, 2024 · Palm Beach Gardens, Fl
- R•• C•••••• M••••••• L•• national BDJan 22, 2018 to Oct 25, 2022 · Fort Lauderdale, Fl
- J••• M••••• S••••••••• L•• wirehouseFeb 5, 2016 to Jan 10, 2018 · Palm Beach Gardens, Fl
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Jan 17, 2024, registered Oct 3, 2025 (625 days) · Wirehouse to affiliated broker-dealer or bank
- R•• C•••••• M••••••• L•• to J••• M••••• S••••••••• L••left Oct 25, 2022, registered Nov 1, 2022 (7 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to R•• C•••••• M••••••• L••left Jan 10, 2018, registered Jan 22, 2018 (12 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedJan 17, 2024 · Advisor changed firm · fact
- ••• LockedOct 25, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address