DFX 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
L••••••• W•••• E•••••
Feed of 09/14/2026
At current firm
4 y
since Nov 18, 2021
In the industry
26 y
since May 31, 2000 (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, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Nov 18, 2021 · Boston, Ma
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 11, 2006 to Sep 7, 2023 · Fort Worth, Tx
- T• A••••••••• I••• formerDec 11, 2006 to Oct 14, 2022 · Omaha, Ne
- S•••••••• A••••••• L•• national BDJan 30, 2004 to Nov 14, 2005 · Westlake, Tx
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Nov 18, 2021 (-658 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Dec 11, 2006 (-5786 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to T• A••••••••• I•••left Nov 14, 2005, registered Dec 11, 2006 (392 days) · Affiliated broker-dealer or bank to a newly registered adviser
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