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
D•••• C••••••••• L••••
Chartered Financial Consultant
Feed of 09/15/2026
At current firm
9 y
since May 2, 2017
In the industry
23 y
since Feb 21, 2003 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince May 2, 2017 · Ft Lauderdale, Fl
- U••••• C•••••• F•••••••• A••••••• independent RIAJan 24, 2012 to Feb 21, 2013 · Boca Raton, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDJul 22, 2003 to Feb 25, 2005 · Naples, Fl
Moves
a registration end followed by a registration begin elsewhere
- U••••• C•••••• F•••••••• A••••••• to M•• I•••••••• S•••••••• L••left Feb 21, 2013, registered May 2, 2017 (1531 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to U••••• C•••••• F•••••••• A•••••••left Feb 25, 2005, registered Jan 24, 2012 (2524 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address