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•
Feed of 09/14/2026
Also filed as J••• L••••• L••••• L••••• L•
At current firm
0 y
since Jan 6, 2026
In the industry
24 y
since Jun 25, 2002 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jan 6, 2026 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseMay 11, 2016 to Jul 4, 2025 · Elmhurst, Ny
- H••• S••••••••• •••• I••• BD affiliatedOct 21, 2014 to Mar 24, 2016 · Elmhurst, Ny
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedMar 19, 2014 to Oct 21, 2014 · Flushing, Ny
- C•••• I••••••••• S••••••• C•••• formerMar 17, 2008 to Oct 5, 2009 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to C••••• I••••••••• A••••••• L••left Jul 4, 2025, registered Jan 6, 2026 (186 days) · Wirehouse to affiliated broker-dealer or bank
- H••• S••••••••• •••• I••• to J••• M••••• S••••••••• L••left Mar 24, 2016, registered May 11, 2016 (48 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to H••• S••••••••• •••• I•••left Oct 21, 2014, registered Oct 21, 2014 (0 days) · Other
- C•••• I••••••••• S••••••• C•••• to T••••••••• F•••••••• A•••••••• L••left Oct 5, 2009, registered Mar 19, 2014 (1626 days) · Other
Signals
- J••• L• left J••• M••••• S••••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2026-01-06)Jul 4, 2025 · Advisor changed firm · fact
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address