DFX Intelligence
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Registered advisor
L••• A•• B••••••
Feed of 09/15/2026
Also filed as L••• A•• K••••
At current firm
12 y
since Nov 1, 2013
In the industry
26 y
since Mar 2, 2000 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 1, 2013 · Scarborough, Me
- U•• F•••••••• S••••••• I••• wirehouseFeb 9, 2007 to Oct 25, 2013 · Portland, Me
- K•••••• C•••••• M•••••• I••• unclassifiedFeb 7, 2007 to Feb 9, 2007 · Portland, Me
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 25, 2013, registered Nov 1, 2013 (7 days) · Wirehouse to affiliated broker-dealer or bank
- K•••••• C•••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Feb 9, 2007, registered Feb 9, 2007 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address