DFX Intelligence
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Registered advisor
L•••• C•••••••• B••••
Feed of 09/14/2026
Also filed as L•••• C•••••••• C•••
At current firm
21 y
since Oct 20, 2004
In the industry
25 y
since Aug 3, 2001 (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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 20, 2004 · Austin, Tx
- L••••••• F•••••••• S•••••••• I••• unclassifiedApr 21, 2003 to Oct 19, 2004 · Austin, Tx
- R•• C•••••• M••••••• L•• national BDJan 29, 2002 to May 9, 2003 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
- L••••••• F•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 19, 2004, registered Oct 20, 2004 (1 day) · Other
- R•• C•••••• M••••••• L•• to L••••••• F•••••••• S•••••••• I•••left May 9, 2003, registered Apr 21, 2003 (-18 days) · Other
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address