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
J••••• L•••• S••••••••
Feed of 09/14/2026
Also filed as J••••• L• S••••••••
At current firm
9 y
since Jun 7, 2017
In the industry
26 y
since Jul 14, 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
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
- L•••••• I••••••••• independent RIA currentsince Jun 7, 2017 · Bluffton, In
- L••••• A•••••••• L•• formerAug 9, 2005 to Oct 4, 2019 · Palm Beach Gardens, Fl
- P•••• S••••••••• L•• no RAUMJan 16, 2001 to Feb 7, 2005 · Fort Wayne, In
Moves
a registration end followed by a registration begin elsewhere
- L••••• A•••••••• L•• to L•••••• I•••••••••left Oct 4, 2019, registered Jun 7, 2017 (-849 days) · corporate re-registration, not a move
- P•••• S••••••••• L•• to L••••• A•••••••• L••left Feb 7, 2005, registered Aug 9, 2005 (183 days) · Other
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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address